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Compliance Officer / Supervisor

Sentinel Financial
Calgary, AB

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Détails du poste

Temps plein
Il y a 1 heure

Avantages

Congés payés
Événements d'Entreprise

Compétences

Français
Investissement
Études postsecondaires
Anglais
Traitement des plaintes
Surveillance de la conformité
Expérience en supervision
Prise de décisions
Orientation axée sur le service à la clientèle
Sens de l'organisation
Services financiers
Expérience en conformité financière et réglementaire
Compétences en communication

Description complète du poste

About Sentinel Financial Group

Sentinel Financial Group has been providing independent financial services to Canadians for more than four decades. Through Sentinel Financial Management Corp. (Sentinel), our advisors provide investment solutions including mutual funds, exempt market products, segregated funds and GICs.

Sentinel Financial Management Corp. is a member of the Canadian Investment Regulatory Organization (CIRO) as a Mutual Fund Dealer and operates within a highly regulated financial services environment.

We are continuing to grow our compliance team and are looking for someone who combines strong attention to detail and sound judgment with a practical, service-oriented approach to compliance.

The Role

We are looking for a Compliance Officer / Supervisor to support Sentinel’s day-to-day compliance and supervisory functions.

This role will work closely with Sentinel’s Chief Compliance Officer, compliance team and with our dealing representatives across Canada. Responsibilities will include account and transaction review, representative supervision and support, documentation, regulatory monitoring, complaint and investigation support, and ongoing compliance oversight.

We are open to candidates at different stages of their compliance careers and are willing to train and develop the right person. You do, however, need a strong foundation in the Canadian financial services industry, the ability to understand and apply regulatory requirements, and the willingness to develop into a strong CIRO compliance professional.

Key Responsibilities

Transaction and suitability review: Review investment transactions and supporting documentation for completeness, suitability and compliance with Sentinel policies and applicable regulatory requirements.
Account opening and KYC review: Review new account applications, Know Your Client documentation and account updates; identify deficiencies and work with Representatives to resolve outstanding items.
Supervision: Assist with the ongoing supervision and monitoring of Sentinel Dealing Representatives in accordance with CIRO requirements and Sentinel’s supervisory policies and procedures.
Representative communication and guidance: Provide responsive and practical compliance guidance to Representatives, helping them understand requirements, resolve deficiencies and determine appropriate next steps.
Compliance monitoring: Complete ongoing supervisory reviews, compliance testing, exception reporting and monitoring programs, including escalation and remediation where required.
Complaints and investigations: Assist CCO with the intake, documentation, review and resolution of client complaints and support internal or regulatory investigations as required.
Branch and advisor reviews: Complete and or collaborate on branch, representative supervisory reviews, including documentation, follow-up and remediation.
Regulatory examinations and audits: Complete with the CCO, CIRO examinations, securities regulatory reviews and internal or external audits by gathering documentation, responding to requests and tracking required follow-up.
Training and onboarding: Support onboarding and ongoing training for new and existing Representatives.
Books and records: Maintain appropriate compliance and supervisory records and ensure documentation is complete, organized and retained in accordance with regulatory and internal requirements.
Perform other compliance and supervisory duties as assigned by the Chief Compliance Officer (CCO).

What We’re Looking For

We are less concerned with finding someone who already knows everything and more interested in finding someone with the right foundation, judgment and ability to learn.

The successful candidate will have:

· Experience in Canadian financial services industry at a investment or mutual fund dealer.

· Strong attention to detail and a high level of accuracy.

· Sound professional judgment and the ability to recognize when an issue requires escalation.

· Strong written and verbal communication skills.

· A professional and service-oriented approach

· The ability to interpret policies and regulatory requirements and apply them to real-world situations.

· Strong organizational skills and the ability to manage multiple priorities and deadlines.

· Comfort working with documentation, workflows, checklists and technology.

· The ability to learn new systems and regulatory requirements quickly.

· A collaborative, adaptable and accountable approach to work.

· The ability to work effectively in a fast-paced and evolving organization.

Prior CIRO dealer compliance or supervisory experience is a strong asset, but is not required, provided you can meet registration requirements as a Compliance Supervisor. We are willing to provide substantial training to the right candidate but will only contact applications with the appropriate qualifications for registration.

Education & Proficiency

Required:

· Post-secondary education or an equivalent combination of relevant education and industry experience.

· Completion of an applicable Canadian mutual fund or securities proficiency course.

· Completion of a recognized Branch Manager / Branch Compliance proficiency requirement or equivalent.

· The candidate must meet the applicable CIRO Supervisor proficiency requirements or will be able to complete required examination before commencing supervisory responsibilities with Sentinel.

Additional securities, compliance, exempt market or financial-services education is considered an asset.

Candidates should be prepared to complete additional regulatory education, examinations or training required for their role with Sentinel.

Experience

We welcome applications from both established compliance professionals and candidates looking to advance into a dedicated compliance and supervisory role.

Approximately 2+ years of relevant financial-services, dealer, operations or compliance experience is preferred; however, equivalent experience and demonstrated capability will be considered.

Experience in any of the following would be particularly valuable:

· Mutual fund dealer operations

· CIRO compliance or supervision

· Dealing Representative or advisor support

· Trade or suitability review

· KYC and account-opening review

· Exempt market products

· Complaints or investigations

· Branch supervision or auditing

· Securities registration

Language

· Fluent English – required

· Fluent French – a strong asset

Why Join Sentinel?

This is an opportunity for someone who wants to build a long-term career in securities compliance.

You will work directly with experienced compliance and financial-services professionals and gain exposure to a broad range of dealer compliance, advisor supervision, investment products and regulatory matters.

For someone with the right foundation and attitude, we are prepared to invest the time and training required to develop you into a strong member of Sentinel’s compliance team.

Compensation & Benefits

· Salary of $65,000–$80,000, commensurate with experience and qualifications

· Full-time, permanent position

· Health benefits

· Paid time off

· Company events

· Professional development and regulatory training

· Monday–Friday schedule

Work Location: Calgary, Alberta or Saskatoon, Saskatchewan

We thank all applicants for their interest. Only candidates selected for an interview will be contacted.

Pay: $65,000.00-$100,861.47 per year

Work Location: In person

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Je souhaite recevoir la dernière alerte emploi pour les postes de ce type : operations officer (alberta)

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