At , we strive to build value for the people who choose us every day: our people, our clients and our investors. We do this by:
Putting people first and building relationships with intention
Seeking out and embracing new ideas
Believing that how we do things is as important as what we do
Location | Calgary, AB.
Put a new spin on your banking career
The overwhelming majority of our employees say CWB is a Great Place to Work
CWB Wealth Partners has put our clients at the heart of everything we do since 1999. We provide personalized investment strategies for high-net-worth individuals and families, institutions, small foundations, and not-for-profit organizations. As a subsidiary of CWB Wealth Management (CWB WM), we operate within the Private Wealth division having access to CWBWM's Managed Pooled Funds with over $2B of assets under management. Our dedicated team brings life to our vision of making CWB Wealth Partners, the wealth management company of choice.
Our employees love CWB. You'll love it here too.
The opportunity
CWB Wealth Partners (CWBWP) is currently looking for a Senior Compliance Officer to join our team in Calgary, AB. This position is crucial in helping CWB Wealth make sure that, as a dealer governed by CIRO, CWBWP's compliance standards are met throughout the department. Good compliance is regarded good business, as a company built on integrity and reputation values, the incumbent will be viewed as an expert on both internal and external rules, working closely with leadership. Reporting to the Chief Compliance Officer, this position will play an essential part in ensuring the department's ethical standards and general well-being. It will support senior leadership by encouraging a culture of compliance throughout the business.
Areas of focus
Review dealer member activities as per CIRO requirements for retail supervision, run compliance programs, and reports to the Chief Compliance Officer.
Ensure daily supervision by regulatory bodies like CIRO, FINTRAC, and CWB, reviewing transactions, new account openings and KYC updates, trading best execution, and client supervision queries
Perform monthly and quarterly trend analysis, identify unusual or unsuitable activity patterns, and complete regulatory and dealer reporting, as the need arises.
Coordinate pre-review examinations, interviews, internal control's testing, training sessions, and issue resolution.
Responsible for the CWBWP complaint handling program and raise unresolved complaints or special situations to CCO.
Track and report any trading conduct compliance matters with trading partners and custodians, as per CIRO's Universal Market Integrity Rules (UMIR).
Participate in industry association groups and meetings, including representation at CIRO District Council.
Maintain compliance risk profile as per CIRO's Risk Matrix and ensure registrants understand CIRO and FINTRAC Policies and Procedures.
Assist the CCO in establishing a robust compliance culture that prioritizes adherence to all relevant laws and guidelines as well as the value of personal integrity and the necessity of always acting in a fair, transparent, and candid manner when dealing with clients.
Who we're looking for
Post-secondary diploma or degree in a related field, and/or equivalent experience
Registration, in good standing, as an CIRO Registered Representative, Supervisor – Investment Dealer, Securities
Three (3) to five (5) years of compliance supervision experience at an CIRO Dealer,
Sophisticated understanding of CIRO dealer compliance and operation requirements,
Skilled with Microsoft Office suite of programs and compliance software.
Excellent written and verbal communication skills are critical.
Critical abilities include the capacity to multitask in a fast paced setting, effective time management, outstanding organizational abilities, and unwavering attention to detail.
Strong presentation skills and ability to build materials and deliver effective training.
Ongoing commitment and dedication to continuous learning and development in investment industry, compliance, and operations knowledge.
Why work with us?
Your success is our obsession! And our award-winning culture & benefits back it up.
Proudly recognized by Great Place to Work in 2023 as one of Canada's top 50 Best Workplaces & recipient of Waterstone Human Capital's Most Admired Corporate Culture 2023.
Wellness matters. We offer an award-winning benefits package that includes:
Hybrid work environments
Everyday flexibility
Generous company-funded health coverage
Health care spending account
A flexible wellness program
generous time-away options to unplug, rest & recover
Career development. We commit to our employees' development and help them reach their professional goals with:
Organization wide coaching services
Mentorship
Education support & training programs
Bring your whole self to work. Inclusion is a journey requiring practice & experience to result in a powerful outcome. Your perspective matters & voice will be heard. Find community within the CWB family in our employee represented groups.
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As an equitable employer, CWB Financial Group is committed to providing a safe and where a diverse workforce thrives. You are welcomed and encouraged to bring your whole self to work. Dignity, respect and equality are non-negotiables. If you require during any part of the recruitment or selection process, please reach out.
Closing Date:
- Position closes at 12:01am on the close date identified below. 04/22/2024
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