Compliance Specialist (contract)

Leith Wheeler Investment Counsel Ltd. is an employee-owned firm, headquartered in Vancouver with offices in Calgary and Toronto.  We manage over $23 billion of assets on behalf of pension, foundation, corporate, Aboriginal, and individual clients across Canada.

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 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
  • Develop and enhance processes for the firm’s automated compliance monitoring system, including system maintenance, implementation, and updates
  • 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:

  • Solid understanding of the Canadian securities’ regulatory environment
  •  5+ years of compliance-related experience in Financial Services
  • Proven experience with various compliance programs including NRD (National Registration Database)
  • Experience with Portfolio Management systems (with a focus on the compliance component)
  • High level of proficiency with MS Office
  • Completion of Canadian Securities Course or Chartered Financial Analyst program is an asset

Attributes for Success

  • Positively contributing to our Culture Blueprint – Character (Be Genuine), Connection (Build Relationships), and Commitment (Deliver Excellence)
  • High degree of professional ethics and integrity
  • High level of accuracy and attention to detail
  • Thrives in a team environment, and effectively contributes to the team

Thank you in advance for your interest. If your profile meets our requirement, we will gladly reach out to you.

For more information, please contact Kaushal Parikh (KP) at 604-683-3391 OR