Jobs at Canaccord Genuity Corp.

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Manager, Account Documentation

Vancouver, BC
Manager, Account Documentation - Compliance 
Vancouver – Job #7070

Summary:


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 Account Documentation Supervisor to join our Compliance department in Vancouver. The Account Documentation Supervisor will contribute to the regulatory control of Canaccord Genuity by providing the highest standard of integrity for the firm and its clients.

Responsibilities:

A primary responsibility of this position is the day-to-day supervision, mentoring and coaching of 5 full-time employees. The Supervisor will ensure a high standard of compliance to internal controls and compliance guidelines. The primary tasks of the department are:
  • Review and approve new and updated client applications (physical and electronic) 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;
  • 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 to target and resolve potential deficiencies.

Skills & Qualifications:
  • 3-5 years’ experience in the securities industry and previous experience in a back-office environment; with 2-3 years experience in a supervisory capacity;
  • Excellent communication skills both verbal and written to clearly articulate facts and recommendations when presenting ideas, recommendations and solutions;
  • Extensive knowledge of all account types and the documentation requirements for each account;
  • Experience and knowledge of legal documentation for corporations, foreign corporation, trusts and other legal entities;
  • Understanding of Investment Industry Regulatory Organization of Canada (IIROC), Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standard (CRS) regulations;
  • A strong knowledge of compliance, audit and control requirements and procedures as they relate to a document processing environment;
  • Knowledge of Qualified Intermediary (QI) documentation audit requirements is an asset;
  • Detail-oriented and have the ability to work well under pressure;
  • Strong organizational and planning skills with the ability to prioritize, multitask and coordinate the work of others;
  • Work in a team environment and demonstrate a professional and friendly manner;
  • Advanced MS Office skills; Dataphile is an asset;
  • Knowledge of Docusign is an asset.
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