Compliance Administrator

Canaccord Genuity Group Inc.; 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. The role supports regulatory control, ensuring integrity for the firm and its clients in daily operations.

The candidate will coordinate documentation for transactions, assist with AML and CIRO regulatory requests, and help maintain compliant processes while working closely with Investment Advisors and supervisors.

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.
• 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.
• 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.

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

CIRO regulations

FATCA/CRS knowledge

Regulatory compliance

Attention to detail

Communication skills

Back-office experience

Dataphile

MS Word/Excel/Outlook

Tools

Dataphile

Job description

Who We Are

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.

Salary Range

$50,000 - $55,000

Who We Are

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.

#INDHP

All applications will be held in strict confidence.

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.

Protecting your online safety

Canaccord Genuity and its affiliates do not use text messages for recruitment purposes. If you have received a text message claiming to be from CG or an authorized representative regarding job recruitment, please treat as fraudulent and do not respond.

We wish to thank all candidates for their interest but only those applicants selected for an interview will be contacted. No phone calls please. Thank you for your understanding.