Advisor Practice Compliance

Desjardins • Aurora, CO

10h

About The Position

As a Advisor Practice Compliance, you will analyze business practices of advisors within various independent distribution networks. You will be responsible for overseeing daily operations in the mutual fund discipline as well as in securities. In this role, you will contribute to the design, implementation, and coordination of the compliance framework, and ensure the application of the related rules. You will monitor supervisory measures, particularly the behavior of independent advisors, to ensure alignment with organizational standards. You will analyze and help diagnose issues, provide advice in accordance with regulatory requirements, and participate in the development of recommendations and implementation plans. You will also develop tools, methods, and processes tailored to the needs of the organization. Your projects and initiatives will require in-depth expertise in your field. More specifically, you will be required to : Design, improve, implement, and monitor action plans, programs, solutions, or tools related to legal and regulatory compliance to ensure consistency and balance between business needs and compliance requirements. Diagnose issues, challenges, needs, and problems in your area of expertise to define desired outcomes. Analyze information, conduct studies, and develop recommendations to support the development of best practices for the organization. Collaborate on initiatives aimed at raising awareness and disseminating information or training to internal stakeholders to promote a culture of ethics and compliance. When applicable, monitor business line activities. Collaborate with various internal and external partners and stakeholders on assigned mandates. Represent your unit on various committees, within organizational units, and with different stakeholders.

Requirements

• Bachelor’s degree in a relevant field
• A minimum of four years of relevant experience
• Please note that other combinations of qualifications and relevant experience may be considered
• Experience in audit or supervision
• Completion of the Canadian Securities Course (CSC)
• Completion of the Conduct and Practices Handbook Course (CPH)
• Completion Investment Dealer Supervisors Course (IDSC)
• Completion (or commitment to quickly complete) the Derivatives Fundamentals and Options Licensing Course (DFOL)
• Knowledge of French is required
• Intermediate advanced proficiency of English due to the nature of the duties or work tools or because the position involves interactions with English-speaking partners, members and/or clients
• Action oriented, Business insight, Customer Focus, Differences, Interpersonal Savvy, Nimble learning

Responsibilities

• Design, improve, implement, and monitor action plans, programs, solutions, or tools related to legal and regulatory compliance to ensure consistency and balance between business needs and compliance requirements.
• Diagnose issues, challenges, needs, and problems in your area of expertise to define desired outcomes.
• Analyze information, conduct studies, and develop recommendations to support the development of best practices for the organization.
• Collaborate on initiatives aimed at raising awareness and disseminating information or training to internal stakeholders to promote a culture of ethics and compliance.
• When applicable, monitor business line activities.
• Collaborate with various internal and external partners and stakeholders on assigned mandates.
• Represent your unit on various committees, within organizational units, and with different stakeholders.

Benefits

• Competitive salary and annual bonus
• 4 weeks of flexible vacation starting in the first year
• Defined benefit pension plan that provides predictable, stable income throughout retirement
• Group insurance including telemedicine
• Reimbursement of health and wellness expenses and telework equipment
• Benefits apply based on eligibility criteria.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level