Compliance Administrator

Ventum Financial Corp.; Vancouver; On-site; CAD 50,000 - 60,000; Full time

Job summary

Ventum Financial Corp. is seeking a Compliance Administrator to provide administrative and operational support to the Compliance Department.

The role includes preparing and reviewing client account documents, trade-related materials, and regulatory requests, with a focus on accuracy and discretion. The ideal candidate will have 2–3 years in financial services, be highly organized, and proficient in Word and Excel.

Qualifications

• Some post-secondary education is required.
• Minimum 2-3 years of experience in the Financial Services Industry.
• Proficient in Microsoft Word & Excel, with strong administrative skills.
• Strong organizational and administrative abilities are essential.
• Attention to detail and accuracy are critical for compliance.
• Ability to collaborate with multiple departments while maintaining confidentiality.
• Familiarity with the Dataphile Database system is an asset.

Responsibilities

• Assist with investigations/requests for information, gathering client statements and account documents.
• Review UCI reports and escalate items needing attention.
• Review employee external Pro Statements and trade confirmations.
• Generate and prepare reports from the Dataphile database system.
• Review class action letters/notices and identify follow-up items.
• Assist with regulatory requests from various regulators.
• Support compliance officers with reporting and documentation tasks.

Skills

Microsoft Word

Microsoft Excel

Organizational skills

Attention to detail

Collaboration

Discretion / confidentiality

Education

Some post-secondary education

Tools

Dataphile Database

Job description

Salary Range: $50,000.00 To $60,000.00 Annually

POSITION OVERVIEW

The Compliance Administrator will provide administrative and operational support to the Compliance Department, assisting with the preparation and review of account documentation, trade-related documents, reports, regulatory requests and other operational requirements.

The successful candidate will be highly organized, detail-oriented, and comfortable working with financial services systems and processes. This role will involve working with various internal reports and databases and supporting the Compliance team with the timely completion of routine operational and administrative requirements.

CORE DUTIES & RESPONSIBILITIES

• Assisting with investigations/requests for information which include obtaining client statements, account documents, and trade tickets.
• Reviewing UCI reports and escalating items requiring further attention.
• Reviewing employee external Pro Statements and trade confirmations
• Generating and preparing reports from the Dataphile database system.
• Reviewing class action letters and notices and identifying items requiring follow-up.
• Assisting with information gathering related to regulatory requests from various regulators.
• Assisting Compliance Officers with various reporting, documentation, and administrative requirements.

REQUIRED EXPERIENCE, EDUCATION, SKILLS AND BEHAVIOURS

• Some post-secondary education
• Minimum 2-3 years of experience in the Financial Services Industry
• Proficient in Microsoft Word & Excel
• Strong organizational and administrative skills
• Strong attention to detail and accuracy
• Ability to work collaboratively with different departments
• Maintain professionalism, integrity, and discretion when handling confidential information
• Familiarity with the Dataphile Database system is an asset
• Ability to meet applicable proficiency requirements, considered an asset