Compliance Associate
Ventum Financial Corp.•Calgary, AB
•Onsite
About The Position
The Compliance Associate supports the Compliance and Registrations teams with regulatory filings, record maintenance, and day-to-day compliance monitoring. The role assists with supervision activities and administrative tasks that support the firm’s compliance with CIRO rules and other regulatory requirements.
Requirements
- University or college business degree and/or relevant experience in financial services
- Familiarity with CIRO rules and related securities regulations
- Understanding of securities industry practices and regulatory requirements
- General knowledge of compliance and supervision processes within a dealer environment
- Strong organizational and administrative skills
- Advanced proficiency in Microsoft Office (Word, Excel, Outlook)
- Ability to manage multiple priorities and meet deadlines
- Strong attention to detail and accuracy
- Ability to work collaboratively with different departments
- Maintain professionalism, integrity, and discretion when handling confidential information
Nice To Haves
- Experience with a CIRO Dealer Member preferred
- Relevant CSI courses (CSC and CPH), or the ability to meet applicable proficiency requirements, considered an asset
- Familiarity with the NRD system is an asset
Responsibilities
- Assist with preparing and submitting individual registration filings through the National Registration Database (NRD)
- Maintain employee registration records and assist with updates
- Monitor regulatory notices, filing deadlines, and compliance requirements
- Maintain regulatory and compliance documentation and records
- Monitor and maintain employee PRO accounts to ensure compliance with regulatory requirements and firm policies.
- Track and maintain Continuing Education requirements for registered employees
- Assist with internal compliance reviews (e.g., annual attestation)
- Support regulatory requests, audits, or information requests
- Assist with compliance projects or regulatory initiatives as required
- Provide general administrative support to the Compliance and Registrations teams
- Maintain compliance files and internal documentation
- Assist with coordinating meetings and preparing materials when required
- Distribute compliance materials and onboarding information to new employees
- Support office organization and assist with general administrative duties as required
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
