Regulatory Coordinator

Aligned Capital Partners Inc.; Burlington; On-site; CAD 60,000 - 80,000; Full time

Job summary

A fast-growing investment dealer in Burlington is seeking a full-time Regulatory Coordinator. This role involves ensuring compliance with regulations, managing account openings, and providing excellent client service. The ideal candidate will have a background in financial services and strong communication skills.

Benefits

Competitive compensation

Recognition of accomplishments

Investment in training and development

Commitment to health and well-being

Qualifications

• Recent CIRO registration or working towards it.
• Financial services/investment dealer experience.
• Ability to manage high volumes with professionalism.

Responsibilities

• Review and approve account openings and KYC updates.
• Perform regulatory review of marketing materials.
• Coordinate with auditors in Compliance.

Skills

Client Service

Communication

Time Management

Education

University Degree or College Diploma

Tools

MS Office

Job description

Aligned Capital Partners Inc. (ACPI) is a fast-growing investment dealer with a dynamic team looking to expand our business exponentially. Our corporate culture encourages teamwork, service excellence, creativity, and initiative. We are currently hiring for a full–time Regulatory Coordinator to join our team in Burlington. We are looking for an individual who takes pride in being professional and demonstrates fantastic client service.

Job Overview

The main accountability of this role is to ensure that our Advisors are aligned with the rules and regulations as set out by the Canadian Industry Regulatory Organization (CIRO) and the Canadian Securities Regulators. We are looking for someone who can comfortably and confidently review information, following up promptly and in any way needed. The Regulatory Coordinator must successfully manage volume without sacrificing attention to detail or quality.

What You Will Do

• Review and approve initial account opening and Know Your Client (KYC) Updates
• Review and approve sales communications
• Perform regulatory review and approval of website and marketing materials
• Determine items for escalation to the Compliance team
• Recommend on regulatory matters for circulation to clients
• Coordinate with auditors within our Compliance group

What You Will Bring

• University Degree or College Diploma preferred
• Recent CIRO registration, or recently working towards registration
• Financial services/investment dealer experience and strong knowledge of investment industry
• Demonstrated ability to provide fantastic client service
• Excellent communication and time management skills
• Strong MS Office skills (Outlook, Word and Excel) and proven ability to learn new technology
• Proven ability to manage high volumes with a positive and professional attitude

What We Bring

We are committed to a positive employee experience fostered through an open and collaborative work environment. We offer you:

• Competitive compensation
• Recognition of your accomplishments
• Communication and feedback
• Investment in your training and development
• Commitment to your health and well-being

Aligned Capital Partners Inc. is an equal opportunity employer. Please contact us at [phone] if you require any accommodation in order to fully participate in our recruitment process.