RGF Integrated Wealth Management (RGF) is an independent integrated financial services firm with over 65 staff members, located in Vancouver. We are looking for a Compliance Administrator who will report to the Chief Compliance Officer (CCO), providing support to the firm's compliance functions, and completing assigned duties consistent with established regulatory requirements, standards and timelines. As part of the corporate team, you will be responsible for back-office support of the firm's financial advisors.

This full-time, permanent position is best suited to someone with experience in the compliance area of financial services. Exceptional organizational and prioritization skills and a strong focus on accurate task completion are required for this role. Ideal candidates will possess solid verbal/written communication and interpersonal skills, the ability to learn quickly and easily, as well as the enthusiasm to fully participate as a member of a team while contributing to a positive work environment.

Responsibilities

Supervision Reporting and Administration
Provide administrative support for supervision reporting preparation, including Pro Accounts, Error Accounts, Cash Balance, Supplementary Client Reporting, AML blotter reports, and high-risk clients
Administer annual declarations and UDP system

Compliance Support and Reporting
Provide administrative support to the Compliance Officer
Generate compliance reports and administer follow-ups
Review correspondence to ensure compliance baselines are met
Perform daily trade and account supervision, including trading blotter review
Coordinate and track various internal supervision requirements
Manage new applications and renewals for insurance licensing
Compile documentation regarding compliance issues
Assist with the execution and implementation of procedures
Coverage for CCO
Assist in the preparation and submission of CIRO-mandated reports, including monthly and annual filings

Licensing and Internal Policies
Monitor employee licensing and registration status through the National Registration Database (NRD)
Coordinate compliance training sessions and maintain training records
Assist in the development and review of internal policies and procedures
Prepare documentation for internal audits and regulatory reviews
Stay informed of regulatory updates and communicate relevant changes to staff
Perform other administrative tasks and projects as required

Administrative and Support Tasks
Part of the reception vacation/absence coverage team
Manage scheduling, calendar, and follow-ups
Perform other administrative tasks and projects as required

Requirements
Post-secondary education in Business Administration or equivalent experience
Minimum 2 years financial industry experience
Excellent organizational and communication skills
High level of attention to detail and excellent follow ups

Preferred Assets
Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) or Wealth Management Essentials (WME) an asset
Familiarity with National Registration Database (NRD)
Experience with systems e.g., Dataphile, Subserveo, Croesus, intermediate in Excel, Office 365 including SharePoint, Outlook and Teams and Dynamics 365 CRM

Benefits
Comprehensive Health and Dental Benefits
Health Care and Taxable Wellness Spending Accounts
Continuing Education Opportunities, Employee Assistance Program, Life insurance
Three weeks of Vacation per year as well as paid personal days
RRSP matching
Monthly engagement events and activities
Flex days program after 1 year of employment

Please note that only those applicants for an interview will be contacted.

No telephone calls or recruitment agencies will be accepted.

Job Types: Full-time, Permanent

Pay: $55,000.00-$65,000.00 per year

Benefits:
Company events
Dental care
Employee assistance program
Extended health care
Life insurance
Paid time off
RRSP match
Wellness program
Flexible language requirement:
French not required
Schedule:
8 hour shift
Monday to Friday

Ability to commute/relocate:
Vancouver, BC V6J 1Y3: reliably commute or plan to relocate before starting work (required)

Work Location: In person