Compliance Administrator

CGC Canaccord Genuity Corp.; Vancouver; On-site; CAD 50,000 - 55,000; Full time

Job summary

Canaccord Genuity Corp in Vancouver is seeking a Compliance Administrator to join the Compliance department. You will support regulatory control and provide high integrity service to the firm and clients.

The role covers documentation for transactions, AML/CIRO rule adherence, input on processes, timely handling of inquiries, and collaboration with Investment Advisors and supervisors to maintain compliance in a fast-paced environment.

Qualifications

• 2-3 years of experience in the securities industry and back-office exposure.
• Knowledge of CIRO, FATCA and CRS regulations.
• Experience with legal documentation for corporations, trusts and similar entities.
• Detail-oriented, accurate and able to solve problems with sound judgment.
• Strong written and verbal communication and interpersonal skills.
• Excellent organizational and time management abilities; team-oriented.
• Proficiency with MS Word, Excel and Outlook; Dataphile is an asset.
• CSC or CPH completion is an asset.

Responsibilities

• Communicate documentation requirements for transactions to Investment Advisors and assistants.
• Support advisers with client requests under AML and CIRO regulations.
• Provide input for processes to ensure regulatory compliance.
• Handle time-sensitive regulatory inquiries quickly and accurately.
• Respond to internal and external queries to promote business and profitability.
• Document queries and results to identify and resolve deficiencies.

Skills

Securities industry experience

CIRO FATCA CRS regulations

Legal documentation knowledge

Detail-oriented

Problem solving & judgment

Written & verbal communication

Organizational & time management

Team player & professional demeanor

MS Word

Excel

Outlook

Dataphile

CSC or CPH asset

Tools

MS Word

Excel

Outlook

Dataphile

Job description

Salary Range: $50,000 - $55,000

Canaccord Genuity (CG) is a leading independent full-service financial services firm, with operations in two principal segments of the securities industry: wealth management and capital markets. CG is driven by an unwavering commitment to build lasting client relationships – we achieve this by generating value for our individual, institutional, and corporate clients through comprehensive wealth management solutions and investment banking services. We are a leading independent wealth management firm in Canada, and the leading mid-market provider of investment banking advisory, equity research, sales and trading services for corporations and institutions. We pride ourselves on understanding our clients’ needs and finding innovative, bespoke solutions. Our entrepreneurial and friendly team will challenge you to learn and grow every day. We value great work and collaboration and strive to eliminate bureaucratic thinking. We’re looking for talented people who thrive in a fast-paced environment and want to have an impact with innovative ideas and best practices. Come be a part of our Canadian success story and help deliver superior experiences for our clients. At CG, we recognize that diversity across our business strengthens our client relationships and enables more innovative solutions. We strongly encourage applications from all qualified individuals regardless of race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability status. CG provides an accessible candidate experience. If you need any accommodations throughout the interview process and beyond, please let us know.

Our Canadian operation, Canaccord Genuity Corp., is currently looking for a Compliance Administrator to join our Compliance department in Vancouver. The Compliance Administrator will contribute to the regulatory control of Canaccord Genuity by providing the highest standard of integrity for the firm and its clients.

Responsibilities:

• Communicate documentation requirements for transactions and more complicated client requests to Investment Advisors and assistants;
• Assist Investment Advisors and assistants with the furtherance of client requests, both foreign and domestic as required under AML and CIRO regulation;
• Provide support to supervisors and VPs, Compliance for communication and other departmental needs;
• Provide input for processes & procedures to assist firm in being compliant with regulatory requirements;
• Perform time-sensitive tasks (e.g. year end and regulatory audit inquiries) quickly in response to regulatory and client inquiries;
• Handle internal and external queries efficiently to promote business and in turn profitability;
• Document queries and the result of such for reference purposes in order to target and resolve potential deficiencies.

Skills & Qualifications:

• 2-3 years of experience in the securities industry and previous experience in a back-office environment;
• Understanding of CIRO, FATCA and CRS regulations;
• Experience and knowledge of legal documentation for corporations, trusts and other legal entities;
• Detail-oriented and accurate;
• Aptitude to seek information, problem solve and exhibit sound judgment;
• Superior written and verbal communication skills with strong interpersonal skills;
• Excellent organizational and time management skills;
• Ability to work in a fast-paced environment and take initiative;
• Work in a team environment and demonstrate a professional and friendly manner;
• Proficiency with MS Word, Excel and Outlook is required, Dataphile is an asset;
• Completion or willingness to complete the CSC or CPH is an asset.

#LI-SK1 #LI-Onsite #INDHP

In order to be considered for employment, candidates selected for interviews will be required to show proof of citizenship, permanent residence or eligibility to work in Canada with no restrictions.

Through its principal subsidiaries, Canaccord Genuity Group Inc. (“Company”) is a leading independent, full-services financial firm, with operations in two principal segments of the securities industry: wealth management and capital markets. Since its establishment in 1950, the Company has been driven by an unwavering commitment to building lasting client relationships. We achieve this by generating value for our individual, institutional and corporate clients through comprehensive investment solutions, brokerage services and investment banking services. The Company has Wealth Management offices located in Canada, the UK, Guernsey, Jersey, the Isle of Man and Australia. Canaccord Genuity, the international capital markets division, operates in North America, UK & Europe, Asia, Australia and the Middle East.