Senior Associate, Non-Brokered Private Placements (NBPP)

Ventum Financial Corp. • Vancouver, BC

8d • Hybrid

About The Position

Ventum Financial Corp. is a leading Canadian-owned private client and capital markets firm recognized for its client-focused approach and entrepreneurial spirit. They specialize in delivering unbiased financial advice and exceptional service to both individual investors and corporate clients, with a commitment to excellence and innovation. The Senior Associate, Non-Brokered Private Placements (NBPP), reports directly to the Manager and supports the processing and administration of private placement transactions. This role is integral from initial submission and due diligence to documentation, coordination, and settlement, ensuring accuracy, compliance, and timely execution throughout. This position offers an excellent opportunity for an experienced and motivated financial professional to contribute to a key function within Wealth Management.

Requirements

• At least 2 years of related experience within an CIRO regulated environment
• Strong attention to detail and accuracy in processing financial documentation
• Effective written and verbal communication skills
• Ability to manage multiple tasks in a fast-paced, environment
• Proficiency in Microsoft Excel and general database management
• Ethical, trustworthy and fully committed to supporting business objectives while ensuring all regulatory and compliance controls are maintained at all times

Nice To Haves

• Basic understanding of capital markets or securities operations is an asset

Responsibilities

• Review and process subscription agreements for non-brokered private placements submitted by investment advisors and issuers
• Identify and resolve documentation deficiencies through communication with advisors and issuers
• Coordinate approvals with Compliance and Credit teams
• Maintain and manage the master database for all private placement transactions
• Where applicable, work with Ventum staff members in Legal and Operations and with Issuer’s legal counsel with respect to processing and settling approved transactions
• Prepare and deliver monthly reports to the Finance team
• Process the allocation of broker warrants and cash commissions
• Liaise with back-office teams to arrange Delivery Against Payment (DAP) and ensure timely settlement with issuers
• Ad-hoc assignments and projects related to NBPP activities

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed