Compliance Officer (Bilingual)
Offre d'emploi #5943
- Employer: Pinnacle Wealth Brokers Inc.
- Location: Calgary
- Date d'affichage: sept. 24, 2019
- Date de clôture: oct. 31, 2019
Pinnacle Wealth Brokers Inc. (Pinnacle or the Company) is a high growth private markets investment banking firm located in Calgary, Alberta. Pinnacle is registered as an exempt market dealer, portfolio manager and investment fund manger in certain jurisdictions in Canada. Pinnacle provides private investment opportunities to qualifying Canadian investors through a network of registered dealing representatives located throughout the country.
Pinnacle has been recognized as one of the top growth companies in Canada in 2013 by Profit Magazine as well as one of the Fast 50 Growth companies for both 2013 and 2014 by Alberta Venture Magazine.
Role: Compliance Officer (Bilingual)
Reporting to: Chief Compliance Officer and Compliance Manager
Job type: Full-time
Work location: Calgary head office
You will be a Compliance Officer involved at reviewing trades made under available prospectus exemptions, largely involving trades made under the offering memorandum exemption and the accredited investor exemption. You will receive a compliance verified subscription agreement and be required to review approve or reject trades based on your review of a client’s know-your-client form, subscription agreement and other related documents and information to ensure the trades is suitable and compliant with applicable securities laws.
Your responsibilities will include, but are not limited to, the following:
- on a daily basis, reviewing and approving/rejecting trades made by Pinnacle’s dealing representatives (Pinnacle DRs) in our Quebec Division and those of other Pinnacle DRs based on geography or otherwise as determined by Pinnacle;
- assisting with the review and approval of marketing materials, external communications by Pinnacle and our Pinnacle DRs in both French and/or English;
- assisting with the translations of documents as needed from English to French to ensure compliance with securities regulatory requirements and otherwise;
- assisting with the onboarding and training of new and existing Pinnacle DRs within your Division or as requested;
- assisting with telephone/in person branch compliance reviews within your Division or as otherwise requested
- participating in weekly securities compliance meetings;
- coaching and mentoring Pinnacle DRs in meeting their securities regulatory compliance responsibilities
- assisting in maintaining necessary books and records and controls in order to ensure efficient and effective supervision of Pinnacle DRs;
- assisting Pinnacle’s compliance team in completing team priorities/projects as assigned from time to time in addition to any trade review responsibilities; and
- updating and maintaining personal knowledge of applicable compliance and regulatory obligations required of a dealer and its dealing representatives under applicable securities law; and
- assisting with the development, maintenance and implementation of securities regulatory compliance policies and
Education - Successful completion of:
- Exempt Market Professionals Course or Canadian Securities Course
- Post-secondary education
- Minimum 2 years’ financial industry experience, preferably in a regulatory or compliance role
- Working knowledge of Microsoft Office
- Ability to understand and learn new technologies, including Pinnacles’ back-office software administration system
- Applicant must be fluent in both French and English (reading, writing and speaking)
- Knowledge of securities regulatory rules and laws including National Instrument 31-103 and related guidance and prospectus exemptions under National Instrument 45-106
- Detail oriented individual
- Self-motivated, flexible and adaptable as this is a highly fluid and fast paced work environment
- Ability to manage and work well with colleagues at all levels of the organization
- Ability to work with a variety of personalities and retain positive long-term professional relationships
- Superior verbal and written communication skills
- Superior and proven customer service and interpersonal skills
- Ability to work effectively both independently and with a team environment
- Strong organizational, multi-tasking and prioritizing skills and ability to work under pressure
- Excellent problem-solving skills and ability to exercise sound judgment
We thank all candidates for their interest. However, only those selected for an interview will be contacted.
Values and Goals
Pinnacle constantly seeks new investment opportunities to create wealth. Pinnacle seeks to comply with securities laws and regulations and be a leader in the private capital markets. Pinnacle donates 2.5% of its net profit to a charitable foundation for the foundation’s work in Canada and Honduras.
Pinnacle is looking for people who want to work hard to create a better life for themselves and others. Pinnacle values professionalism, respect, creativity and hard work. If you are such a person, please contact us with respect to this position.