Regulatory Affairs Specialist, Compliance
Vancouver – Job #7022
Who we are:
Canaccord Genuity (CG) is a leading independent full-service financial services firm, with operations in two principal segments of the securities industry: wealth management and capital markets. CG is driven by an unwavering commitment to build lasting client relationships – we achieve this by generating value for our individual, institutional, and corporate clients through comprehensive wealth management solutions and investment banking services. We are a leading independent wealth management firm in Canada, and the leading mid-market provider of investment banking advisory, equity research, sales and trading services for corporations and institutions.
We pride ourselves on understanding our clients’ needs and finding innovative, bespoke solutions. Our entrepreneurial and friendly team will challenge you to learn and grow every day. We value great work and collaboration and strive to eliminate bureaucratic thinking. We’re looking for talented people who thrive in a fast-paced environment and want to have an impact with innovative ideas and best practices.
Come be a part of our Canadian success story and help deliver superior experiences for our clients. At CG, we recognize that diversity across our business strengthens our client relationships and enables more innovative solutions. We strongly encourage applications from all qualified individuals regardless of race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability status. CG provides an accessible candidate experience. If you need any accommodations throughout the interview process and beyond, please let us know.
Our Canadian operation, Canaccord Genuity Corp., is currently looking for an experienced compliance or legal professional to join our team. Reporting directly to the Chief Compliance Officer, the Regulatory Affairs Specialist will play an integral role on the compliance team, managing key regulatory activities and will be responsible for responding to regulatory inquiries from the CSA, IIROC and other agencies.
The Regulatory Affairs Specialist will handle all types of regulatory inquiries but these are generally focused on the IIROC requirements across all aspects of our securities business.
Skills & Qualifications:
- Interface with regulators, including negotiating request limitations and response deadlines
- Collect documents and information for purposes of responding to requests
- Analysis of requests, responses, and related documents for potential regulatory issues
- Interface with business units, legal department, operations, and other internal groups in connection with preparation of responses and gathering documents
- Prepare written responses
- Review and prepare documents for production to regulators
- Escalate potential issues within Compliance and Legal Departments
- Ensure timely and accurate responses to all regulatory inquiries
- Mentor or manage future regulatory affairs compliance officers or administrators
- Minimum of 7 years experience in securities compliance, including a minimum of 5 years handling inquiries from regulatory agencies such as the CSA and the IIROC
- Significant experience analyzing securities trading
- Superior oral and written communication skills
- Must have strong attention to detail and time management skills
- Intermediate to superior computer/technology skills, particularly using systems to retrieve client KYC, statements, and trade data
- Legal degree beneficial