Compliance Specialist

Value Partners Investments; Winnipeg; On-site; CAD 70,000 - 90,000; Full time

Job summary

Value Partners Investments is seeking a Compliance Officer to ensure adherence to regulatory standards for mutual fund registrants. This full-time position requires a degree in business or finance and involves conducting compliance monitoring, improving product knowledge, and maintaining documentation. The role also emphasizes strong communication and problem-solving skills, providing an extraordinary service to high-net-worth clients.

Benefits

Health & Wellness Spending Account

4% Matching RRSP allocation

Great workplace culture!

Qualifications

• 5 years experience in the securities industry preferred.
• Willingness to complete industry courses if not already done.
• Strong verbal and written communication skills are essential.

Responsibilities

• Conduct ongoing compliance monitoring activities of mutual fund registrants.
• Assist with the creation and updates of policy and procedures manual.
• Review marketing materials and maintain appropriate records.

Skills

Organization

Communication

Time Management

Problem Solving

Education

Post secondary degree or diploma in business or finance

Tools

MS Office

Job description

• Conduct ongoing compliance monitoring activities of mutual fund registrants at either a Tier 1 or 2 level
• File NRD registration applications notices and terminations
• Assist with the creation and updates of policy and procedures manual
• Work with the dealers Investment Product Committee to fulfil its KYP obligations
• Review marketing materials and co-operative marketing requests
• Maintain appropriate paper and electronic records
• Occasionally travel to branches to conduct reviews interviews and / or training
• Keep abreast of changes to compliance procedures firm policies compliance manuals and rules

regulations and requirements of securities regulatory authorities

• Work to continually improve product and compliance knowledge by completing industry courses

participating in seminars workshops and conferences proactively reading internal publications

industry news and media releases and sharing information and ideas with team members.

• Travel to various offices to perform reviews
• Other miscellaneous duties and special projects as assigned

Qualifications :

Education & Experience

• Post secondary degree or diploma in business or finance
• 5 years experience in the securities industry and regulatory environment (preferred)
• Industry courses (IFIC / CSC Branch Managers Course and / or Partners Directors and Senior

Officers) or willing to complete within a short time frame

Technical Knowledge

• Diligent with strong time management and organization skills
• Compelling verbal and written communication skills
• Advanced working knowledge of MS Office (Excel PowerPoint SharePoint and Word)

Skills & Abilities

• Strong attention to detail.
• Strong verbal and written communication skills.
• Strong time management and organization skills.
• Strong listening skills & the ability to follow through.
• Must have exceptional problem-solving skills.
• Excellent customer-focused attitude with the ability to build collaborative working relationships and commitment to providing extraordinary service to high-net-worth clients.
• Advanced organizational skills adept at managing and prioritizing multiple tasks with competing deadlines.
• An ability to adapt quickly to changing needs and work requirements.

Additional Information :

Health & Wellness Spending Account

4% Matching RRSP allocation

Great workplace culture!

Remote Work : Employment Type :

Full-time

Key Skills

Department / Functional Area : Compliance

Experience : years

Vacancy : 1

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