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Senior US Compliance Officer, Compliance

Vancouver, BC
Senior US Compliance Officer, Compliance  
Vancouver – Job #3878
 
Summary:
 
Through its principal subsidiaries, Canaccord Genuity Group Inc. (the “Company”) is a leading independent, full-service financial services firm, with operations in two principal segments of the securities industry: wealth management and capital markets. 
 
Since its establishment in 1950, the Company has been driven by an unwavering commitment to building lasting client relationships. We achieve this by generating value for our individual, institutional and corporate clients through comprehensive investment solutions, brokerage services and investment banking services.
 
The Company has Wealth Management offices located in Canada, the UK, Guernsey, Jersey, the Isle of Man and Australia.  Canaccord Genuity, the international capital markets division, operates in North America, UK & Europe, Asia, Australia and the Middle East. 
 
Canaccord Genuity Wealth Management (USA) Inc. ("CG") is currently looking for a Senior Compliance Officer to join our Compliance department in Vancouver. The position principally reports to the Manager, US Compliance, in order to ensure internal policies, FINRA and SEC regulatory requirements are met, specifically with respect the firm’s US registered Retail Affiliate.  You will have several working relationships inside and outside the organization as follows: IA's across Canada, Legal, Compliance staff at other firms, Canadian and US Regulatory bodies and clients.  The Sr. Compliance Officer will hold accountability for the regulatory control of Canaccord Genuity, by providing the highest standard of integrity for the firm and its clients.
 
Responsibilities:
 
  • Continually monitor the review of trading activity to reasonably ensure adherence to rules & regulations;
  • Assist the Credit department with problem resolution and guidance with trading;
  • Review and approve trade corrections;
  • Perform internal quarterly trade desk audits;
  • Handle internal and external queries efficiently to promote business and in turn profitability;
  • Communicate with various regulatory bodies and other departments to ensure compliance with rules and regulations and policy interpretation;
  • Perform time-sensitive tasks (e.g. year end audit inquiries, client complaint files) quickly to avoid regulatory scrutiny and/or penalties;
  • Update internal manuals to reflect current Canaccord Policies and Procedures and applicable U.S. Securities law as reliable training vehicles and to promote consistency within the firm;
  • Resolve extraordinary queries and ensure documentation is in order to target and resolve potential deficiencies;
  • Develop processes & procedures to remain compliant with regulatory requirements to prevent regulatory penalties;
  • Develop specifications for new reporting products with the help of the IT department;
  • Document queries and the result of such for reference purposes in order to target and resolve potential deficiencies;
  • Developing and maintaining strong working relationships and supervising the US Compliance Officer.
 
Skills & Qualifications:
 
  • A minimum of 5 years of experience in the securities industry, with a solid understanding of IIROC, FINRA and SEC regulations and trading activities and regulations;
  • A degree in business, accounting, law, or a related field, with relevant practical experience or an equivalent combination of these qualifications;
  • Working knowledge of anti-money laundering regulations;
  • Completion of the US Series 7 (or 37/38) and Series 24 exams is required;
  • Completion of a combination of the Canadian Securities Course, Partners, Directors & Officers Course and the Canadian Option Supervisor Course is required;
  • Previous experience with drafting new processes and procedures;
  • Experience and knowledge of legal documentation for corporations, trusts and other legal entities an asset;
  • Clearing and settlement background an asset;
  • Ability to work in a fast-paced, high volume environment;
  • Ability to take initiative, and adapt to change;
  • Client service oriented with the ability to deal with difficult situations and demonstrate flexibility;
  • Excellent teamwork, co-operation and interpersonal understanding skills;
  • Strong organizational and information seeking skills; with the ability to problem-solve and demonstrate sound judgment;
  • Security industry related courses an asset (e.g. Trader Training Course);
  • Strong proficiency in Microsoft Office, with previous Dataphile experience.
 
We welcome and encourage applications from all qualified individuals including persons with disabilities. We will provide reasonable accommodations upon request for candidates taking part in all aspects of the recruitment and selection cycle.
 
Qualified applicants are invited to submit a resume and covering letter including salary expectations. All applications will be held in strict confidence. 
 
In order to be considered for employment, candidates selected for interviews will be required to show proof of citizenship, permanent residence or eligibility to work in Canada with no restrictions.
 
We wish to thank all candidates for their interest but only those applicants selected for an interview will be contacted. No phone calls please. Thank you for your understanding.

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