Job Summary:

This role will report to the President of all aspects of the Compliance Division including but not limited to automating procedures, reviewing compliance regulations, assisting with technological advancements, and liaising with Advisors for compliance issues.

Duties and Responsibilities:

• Report to the President / Chief Compliance Officer of our Wealth and collaborate with the team to maintain compliance regulations such as updating policies and procedure manuals, reviewing all marketing materials, investigating, and addressing client concerns, and resolving trade error handlings

• Review and approve new account documentation, KYC forms and Investment Policy Statements and resolve all deficiencies when applicable

• Advise on regulatory changes, policy updates and compliance requirements to ensure continuous improvement of business operations

• Coordinate the compliance and AML training process for employees and associates by facilitating mandatory training sessions, reviewing, and filing reports, ensuring completion of modules, and updating required portals

• Participate in the Investment Oversight Committee and other required groups, to conduct due diligence reviews when considering new products or services and to streamline processes

• Maintain, review, and update various files and policies including, but not limited to, NRD files, outside business activities, Business Continuity Plan, Daily Transaction Report and Referral Agreements in collaboration with associates and other team members

• Lead project management efforts for the implementation of new compliance technologies, ensuring alignment with regulatory requirements and organizational goals

• Collaborate with cross-functional teams to identify process improvement opportunities, develop project plans, and oversee execution to enhance compliance efficiency and effectiveness

• Monitor project timelines and deliverables, providing regular updates to stakeholders and adjusting strategies as needed to achieve successful outcomes

• Facilitate training sessions and workshops to ensure smooth adoption of new tools and processes within the compliance team and related departments

• Execute all other additional duties, responsibilities and special projects as required

Position Requirements:

• Relevant compliance work experience within the wealth management industry

• A Bachelor's or Master's Degree in a related field such as Business Administration, Finance, Accounting or Economics (an equivalent combination of work experience and education may be considered)

• Robust knowledge and experience with Investment Policy Statements, discretionary accounts, AML regulations and training and legal documents

• Proficiency with computer applications and systems such as Microsoft Office, NRD, CRM systems, Dataphile and portfolio management software

• Strong leadership skills with the ability to cultivate long-term partnerships, influence strategic decision-making and foster positive team dynamics

• Exceptional communication and problem-solving skills with experience navigating through complex situations in fast paced environments and conveying compliance requirements in an engaging and approachable manner

Reporting Structure: President