Compliance Operations (Contract)

Leith Wheeler Investment Counsel Ltd. is an employee-owned investment counsel based in Vancouver. We manage over $23 billion of assets on behalf of pension, foundation, corporate and individual clients across Canada.

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 the Firm’s policies, processes, and procedures as they relate to Securities Laws and Regulations, AML, FATCA/CRS rules.
  • Review and approve all documentation around account opening, and updates to KYC information on existing accounts.
  • Ensure the firm complies with client’s investment policy statements by reviewing and escalating daily alerts generated from the compliance monitoring system.
  • Perform oversight of the firm’s daily trading processes.
  • Development and enhancement of processes for the Firm’s automated compliance monitoring system; including maintaining, implementing, and updating the system.
  • Perform auditing and oversight of the Firm’s processes to ensure compliance with applicable laws and regulations.
  • Assist in the preparation and filing of regulatory reporting.
  • Develop written procedures and implement preventative internal controls.
  • Support the development of Leith Wheeler's business; and perform other duties or special projects as may be assigned from time to time.

Job Qualifications:

The preferred applicant will be well versed in the Canadian securities’ regulatory environment with a minimum of 3 years of compliance-related experience in Financial Services.  Completion of the Canadian Securities Course and/or Chartered Financial Analyst program is an asset. Candidates should have experience in various compliance programs, be proficient with the 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.

For more information, please contact, in confidence, OR Fax 604-683-0323