Compliance Officer

The Skyline Group of Companies•Oakville, ON

39d•$65,000•Onsite

About The Position

We’re expanding our Wealth Management team and searching for a passionate, driven and energetic candidate for the position of Compliance Officer. Skyline Wealth Management, a division of the Skyline Group of Companies, is a premier wealth planning and investment firm that offers clients a best-in-class investor experience, and a comprehensive approach to unique alternative investment products and financial planning services. This full-time position will be located at our office in Oakville, ON and will report to the Chief Compliance Officer.

Requirements

Strong oral and written communication skills in English.
Problem solving skills necessary to resolve routine and non-routine compliance issues.
A positive attitude! You can handle any problem with optimism.
Minimum 2 years compliance and/or investment experience with an exempt market dealer.
Completed Canadian Securities Course, Exempt Market Proficiency Course or equivalent, or in progress of completion.

Responsibilities

Apply policies and regulatory rules appropriately to respond to compliance related inquiries from the Wealth Management team.
Assist in the creation and implementation of new and amended policies and procedures for compliance initiatives and controls, ensuring applicable securities laws and National Instruments are adhered to.
Monitor compliance and individuals acting on its behalf, with applicable securities legislation.
Perform all trade reviews.
Monitor KYC/KYP suitability and other rules by reviewing applications and trade activity.
Maintain registration for the firm and its registrants.
Assist with departmental and enterprise initiatives as required.