Compliance Associate

Belco Private Capital Inc.; Toronto; On-site; CAD 45,000 - 75,000; Full time

Job summary

An established investment fund manager is seeking a Compliance Associate to join their compliance team. This entry-level role offers a unique opportunity to engage in various compliance tasks, including reviewing investor transactions, overseeing compliance initiatives, and assisting with issuer onboarding. The company provides a competitive benefits package and an annual discretionary bonus, making it an attractive place for those looking to grow in the finance and compliance sector. If you have a university degree and a passion for compliance, this could be the perfect opportunity for you to start your career in a dynamic environment.

Benefits

Annual discretionary bonus

Competitive benefits package

Qualifications

• 2+ years in a compliance role or as a dealing representative.
• Strong computer skills, especially in Excel, PowerPoint, and Word.

Responsibilities

• Review and approve investor transactions using dealer software.
• Oversee compliance initiatives and assist with issuer onboarding.

Skills

Communication Skills

Interpersonal Skills

Excel

PowerPoint

Word

Flexibility

Education

University or College Degree

Tools

Dealer Software

Job description

Belco Private Capital Inc. is an investment fund manager, portfolio manager and exempt market dealer. We provide regulatory compliance solutions to issuers who distribute securities within the exempt market.

Belco is looking to hire a Compliance Associate to become an integral part of its compliance team. This individual will be responsible for a variety of tasks including:

1. Reviewing and approving investor transactions using Belco’s dealer software.
2. Overseeing various compliance initiatives to support the firm’s registrant compliance program.
3. Assisting with the onboarding of new issuers including issuer due diligence, offering document review, dealing representative set-up and training.
4. Performing duties for proprietary funds including monthly NAV reconciliation, trade settlements, investor subscriptions/redemptions and monthly investor statement approvals.
5. Registering as a Dealing Representative on Belco’s EMD platform and onboarding investors on a periodic basis.

If you possess the following characteristics, skills, and experience, we would like to hear from you:

1. University or College Degree.
2. 2 or more years working at a registrant as a dealing representative or in a compliance related role.
3. Strong communication and interpersonal skills.
4. Good computer skills, including proficiency in Excel, PowerPoint and Word.
5. The willingness and flexibility to take on a wide variety of tasks.

Compensation and Benefits:

• Base salary commensurate with experience.
• Annual discretionary bonus.
• Competitive benefits package.

Please forward resumes to: [e-mail]

We thank all candidates for their interest but only those invited for an interview will be contacted.

Seniority level

Entry level

Employment type

Full-time

Job function

Finance and Sales