Vancouver – Job #7071
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 Officer to join us in Vancouver. The Compliance Officer will contribute to the regulatory control of Canaccord Genuity by providing the highest standard of integrity for the firm and its clients. This is a full-time permanent position.
Skills & Qualifications:
- Review and approve new and updated client applications (retail and institutional) to ensure compliance with regulatory requirements and internal policies and procedures
- Continually observe electronic communication’s filter for possible rule violations and follow up with necessary measures if any identified;
- Examination/approval of websites, advertising and marketing material for external distribution;
- Provide support to VPs, Compliance for communication needs;
- Develop processes & procedures to remain compliant with regulatory requirements to prevent regulatory penalties;
- Perform time-sensitive tasks (e.g. year end audit inquiries, client complaint files) 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.
- A minimum of 5 years of experience in the securities industry, with a solid understanding of IIROC regulations;
- Must be appointable as a Designated Supervisor or take required courses to achieve designation;
- Completion of or willingness to complete the Canadian Securities Course, Investment Dealer Supervisors Course, Derivative Fundamentals and Options Licensing Course, Options Supervisors Course an asset;
- Working knowledge of anti-money laundering regulations;
- Experience and knowledge of legal documentation for institutions, corporations, trusts and other legal entities;
- Previous experience with drafting new processes and procedures;
- Strong proficiency in Microsoft Office;
- Previous experience with Dataphile/Broadridge applications;
- 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 supervision and leadership skills;
- Strong organizational and information seeking skills; with the ability to problem-solve and demonstrate sound judgment.