Harbourfront Wealth Management

0.5

1.0

1.5

2.0

2.5

3.0

3.5

4.0

4.5

5.0

Be the first to review!

Vancouver, BC

Harbourfront Wealth Management

0.5

1.0

1.5

2.0

2.5

3.0

3.5

4.0

4.5

5.0

Be the first to review!

Vancouver, BC

Manager, Compliance Supervision

Vancouver, British Columbia (view on map)

Posted 1 month ago

Job Description

Who we are:

Harbourfront Wealth Management Inc. is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing CIRO registered securities dealer. The firm provides financial services and holistic wealth management solutions for mid to high-net-worth individuals. At Harbourfront Wealth Management, our core values start with the belief that great people make great companies. Our head office is in downtown Vancouver with over 28 branches across Canada.

Career opportunity:

We currently have a career opportunity for a Manager, Compliance Supervision reporting to the Chief Compliance Officer. This role will be based out of either our head office in Vancouver, BC, at our satellite head office in Burlington, ON or Winnipeg, MB. The Manager, Compliance Supervision role contributes to the overall supervision activities of the compliance department and promotes a culture of compliance throughout the firm. We are looking for a highly motivated candidate who can build solid relationships, has a passion for providing high quality customer service and is eager to expand their career in compliance and supervision.

You will be responsible for:

• New account approvals and account updates;
• Tier 1 supervision activities of non-managed and managed accounts;
• Conducting daily and monthly trading review;
• Conducting quarterly reviews of managed accounts;
• Reviewing, approving and supervising outside activities;
• Oversight of the 30 and 90 day training program of new registrants;
• Conducting close supervision of new registrants;
• Participating in internal branch audits as well as external regulatory audits;
• Supporting Investment Advisors and Portfolio Manager with compliance inquiries;
• Providing ongoing compliance education and training for registered personnel; and
• Special projects as assigned.

The ideal candidate for this position has:

• 5+ years experience in a compliance department with at least 3 years as a Tier 1 Supervisor for a CIRO Dealer Member (previously IIROC Dealer Member);
• Post secondary education;
• Must qualify to be immediately registered as a designated supervisor of managed accounts with CIRO;
• Will be required to continue to meet IIROC continuing education requirements;
• In-depth knowledge of the financial services industry including understanding of regulatory requirements of CIRO and the CSA;
• Strong oral and written communication skills and must be able to effectively communicate with different levels of staff including advisors and senior leadership;
• Must be an effective listener and have a collaborative team-work approach with the ability to prioritize, performing multiple tasks meeting deadlines;
• Strong analytical skills; and
• Proficiency with MS Office applications;

Definite Assets:

• Knowledge of National Bank office processes and tools; and
• Experience with Portfolio Aid 360 Software, PureFacts, DocuSign, Croesus and other compliance applications;

Diversity and Inclusion

Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.