Compliance Administrator, Compliance
Vancouver – Job #3907
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.
Our Canadian operation, Canaccord Genuity Corp., is currently looking for a Compliance Administrator to join our Compliance department in Vancouver. The Compliance Administrator will contribute to the regulatory control of Canaccord Genuity by providing the highest standard of integrity for the firm and its clients.
Skills & Qualifications:
- Review and approve new and updated client applications to ensure compliance with regulatory requirements and internal policies and procedures;
- Communicate documentation requirements for both normal course and more complicated client accounts to Investment Advisors and assistants;
- Assist Investment Advisors and assistants with the gathering of client identification, both foreign and domestic as required under AML and IIROC regulation;
- Provide support to supervisors and VPs, Compliance for communication and other departmental needs;
- Provide input for processes & procedures to assist firm in being compliant with regulatory requirements;
- Perform time-sensitive tasks (e.g. year end and regulatory audit inquiries) quickly in response to regulatory and client inquiries;
- Handle internal and external queries efficiently to promote business and in turn profitability;
- Document queries and the result of such for reference purposes in order to target and resolve potential deficiencies.
- 2-3 years’ experience in the securities industry and previous experience in a back-office environment;
- Understanding of IIROC, FATCA and CRS regulations;
- Experience and knowledge of legal documentation for corporations, trusts and other legal entities;
- Detail-oriented and accurate;
- Aptitude to seek information, problem solve and exhibit sound judgment;
- Superior written and verbal communication skills with strong interpersonal skills;
- Excellent organizational and time management skills;
- Ability to work in a fast-paced environment and take initiative;
- Work in a team environment and demonstrate a professional and friendly manner;
- Proficiency with MS Word, Excel and Outlook is required, Dataphile is an asset;
- Completion or willingness to complete the CSC or CPH is an asset.
Canaccord Genuity Corp. welcomes and encourages 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.
Upon offer, candidates are 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. Thank you for your understanding.