Compliance Operations

Leith Wheeler Investment Counsel Ltd. is an employee-owned investment counsel based in Vancouver.  We manage over $20 billion of assets on behalf of pension, foundation, corporate and individual clients across Canada.

Job Description:

Leith Wheeler Investment Counsel Ltd. is looking for an individual to join its Compliance Operations Team, reporting directly to the Chief Compliance Officer and Chief Financial Officer. The ideal candidate should be familiar with the Canadian regulatory environment and is assertive, detail-oriented, a problem solver, and is able to work with deadlines. As a member of the team, the successful candidate will be responsible for the implementation and monitoring of various aspects of compliance across the firm.

Job Description:

  • Assist in the development, implementation and oversight of firm policies, processes and procedures as they relate to Canadian Securities Acts and Regulations, AML, FATCA/CRS rules.
  • Develop written procedures and implement preventative internal controls.
  • Ensure firm products comply with established investment policies and clients’ investment policies.
  • Review and approval of all documentation around account opening, and updates to KYC information on existing accounts.
  • Monitor and update firm-wide operating policies and procedures, in particular compliance, complaints, and trading.
  • Perform auditing and oversight of our trading processes to ensure compliance with applicable laws and regulations and follow up on instances of non-compliance to ensure appropriate corrective action is taken.
  • Enhance and develop processes for our compliance monitoring system, including maintaining, implementing and updating the system.
  • Coordinate various compliance projects within the firm, including working with various departments and our internal systems to develop compliance monitoring reports.
  • Assist in maintaining both firm and individual registrations with various regulatory and reporting agencies.

Job Qualifications:

The preferred applicant will be well versed in the Canadian Regulatory environment with a minimum of 5 years of compliance related experience in Financial Services or Legal professions.  Completion of the Canadian Securities Course and Chartered Financial Analyst program is a major asset. Candidates should have experience in various compliance programs, be proficient with Microsoft Office suite of programs and have some experience with Portfolio Management systems (with a focus on the compliance component). Candidates should possess strong interpersonal and communication skills and be able to work independently while also providing support to various business units.

Thank you in advance for your interest.  However, only those applicants under consideration will be contacted.

To apply, please send your resume to Tammy Grinnell at OR fax 604-683-0323