Compliance Manager

ZLC WEALTH INC.; Vancouver; On-site; CAD 100,000 - 120,000; Full time

Job summary

A leading company in wealth management is seeking a Compliance Officer to support their Compliance Division. The ideal candidate will manage compliance regulations, automate procedures, and liaise with Advisors. This role requires strong leadership and communication skills, along with relevant industry experience. The position offers a competitive salary and opportunities for professional growth.

Qualifications

• Relevant compliance work experience within the wealth management industry.
• Robust knowledge of AML regulations and legal documents.

Responsibilities

• Collaborate with the team to maintain compliance regulations and update policies.
• Lead project management efforts for implementing new compliance technologies.

Skills

Leadership

Communication

Problem Solving

Education

Bachelor’s or Master’s Degree in Business Administration

Degree in Finance

Degree in Accounting

Degree in Economics

Tools

Microsoft Office

NRD

CRM systems

Dataphile

Portfolio management software

Job description

3 days ago Be among the first 25 applicants

Direct message the job poster from ZLC WEALTH INC.

This role will report to the President of ZLC Wealth and support all aspects of the Compliance Division, including automating procedures, reviewing compliance regulations, assisting with technological advancements, and liaising with Advisors for compliance issues.

Duties and Responsibilities:

1. Report to the President / Chief Compliance Officer of ZLC Wealth and collaborate with the team to maintain compliance regulations such as updating policies and procedure manuals, reviewing all marketing materials, investigating and addressing client concerns, and resolving trade error handlings.
2. Review and approve new account documentation, KYC forms, and Investment Policy Statements; resolve deficiencies when applicable.
3. Advise on regulatory changes, policy updates, and compliance requirements to ensure continuous improvement of business operations.
4. Coordinate the compliance and AML training process for employees and associates by facilitating mandatory training sessions, reviewing and filing reports, ensuring completion of modules, and updating required portals.
5. Participate in the Investment Oversight Committee and other groups to conduct due diligence reviews when considering new products or services and streamline processes.
6. Maintain, review, and update various files and policies including NRD files, outside business activities, Business Continuity Plan, Daily Transaction Report, and Referral Agreements in collaboration with team members.
7. Lead project management efforts for implementing new compliance technologies, ensuring alignment with regulatory requirements and organizational goals.
8. Collaborate with cross-functional teams to identify process improvement opportunities, develop project plans, and oversee execution to enhance compliance efficiency and effectiveness.
9. Monitor project timelines and deliverables, provide regular updates to stakeholders, and adjust strategies as needed.
10. Facilitate training sessions and workshops to ensure smooth adoption of new tools and processes within the compliance team and related departments.
11. Execute additional duties, responsibilities, and special projects as required.

Position Requirements:

1. Relevant compliance work experience within the wealth management industry.
2. A Bachelor’s or Master’s Degree in Business Administration, Finance, Accounting, Economics, or an equivalent combination of work experience and education.
3. Robust knowledge and experience with Investment Policy Statements, discretionary accounts, AML regulations, and legal documents.
4. Proficiency with computer applications and systems such as Microsoft Office, NRD, CRM systems, Dataphile, and portfolio management software.
5. Strong leadership skills to cultivate long-term partnerships, influence strategic decisions, and foster positive team dynamics.
6. Exceptional communication and problem-solving skills, with experience navigating complex situations and conveying compliance requirements engagingly.

Reporting Structure: President of ZLC Wealth

Salary Range: $100,000 - $120,000

Seniority Level

• Mid-Senior level

Employment Type

• Full-time

Job Function

• Legal