Development Project Manager - Constructon

PWL Wealth Management is a premier independent Canadian Wealth Management firm. Canadian High Net Worth families entrust PWL to manage their investment portfolios on a discretionary basis and provide holistic financial advice for all facets of their lives.

Financial Planning, Tax and Estate services are delivered via PWL Conseil, and investment management is delivered via PWL Capital which is a Broker Dealer and CIRO member firm. Both PWL Conseil and PWL Capital are wholly owned subsidiaries of PWL Wealth Management, with more than 90 employees.

Location : Hybrid, office presence required once a month in Ottawa or Montreal

Type : Permanent, Full-Time

Team : Compliance Team

Position Summary

PWL is searching for a Compliance Officer to join an engaging and fast-paced environment. The successful candidate will support the Compliance Team and will report to the Chief Compliance Officer. The Compliance Officer will be responsible for implementing and administering all aspects of the compliance program and handling all administrative matters thereto. The Compliance Officer will plan, organize, and control day-to-day administrative and operational compliance activities.

This is an opportunity for someone who is passionate about compliance processes to work alongside a small team committed to providing exceptional service to their clients while also using their expertise to facilitate the development and implementation of operational compliance activities.

Responsibilities & Activities

Daily

1. Review certain client’s risk rating.
2. Complete trade error corrections as required (once CIRO registered).
3. Preparation of the post-trade daily trade review of all non-managed and managed account trades.
4. Developing, implementing, and managing an organization’s corporate-wide compliance program.
5. Coordinating with provincial or territorial regulators.
6. Planning, implementing, and overseeing risk-related programs.
7. Creating and coordinating proper reporting channels for compliance issues.
8. Writing and distributing company compliance communications.
9. Coordinating and scheduling required compliance training for employees.

Monthly

1. Provide oversight over monthly (and other frequencies) processes to ensure completions.
2. Monitor activities to ensure compliance with Policies and Procedures.
3. Preparation of UN monthly reporting.
4. POS3 monthly compliance review of all pre-mutual fund trade fund fact sheet distribution.
5. Preparation of the Quarterly Due Diligence (managed accounts supervision) audit for review and distribution to the PWL Advisors teams.
6. Preparation of the deposits and withdrawal report for suspicious activities (AML).

As required

1. Oversee the Continuing Education credits completion for all CIRO registered employees.
2. Follow up on the annual attestations and AML courses.
3. Maintain a watchful eye on all ongoing regulatory developments and changes (CSA, CIRO, FINTRAC, IRS), analyze the impact to PWL policies and procedures, and propose appropriate changes to the CCO.
4. Participate in projects as required.

Qualifications and Skills

1. Bachelor’s in business administration with a concentration in Finance, Bachelor’s in Commerce, or equivalent experience required.
2. 2-4 years of pertinent experience in the securities industry within a CIRO firm.
3. French is an asset.
4. Background in accounting or finance sector is an asset.
5. Extensive experience with Excel, Word, SharePoint.
6. Extensive knowledge of legal requirements and CIRO procedures (FINTRAC, CSA, etc.).
7. Highly analytical with superior attention to detail in order to identify and correct risky practices.
8. Must be a strong communicator and capable of expressing oneself clearly both speaking and in writing.
9. Possess a collaborative personality and be open to suggestions from team members.
10. Exemplify strong knowledge of industry protocols and best practices.
11. Excellent analytical skills and ability to accurately interpret complex documents and policies.
12. Strong time management and organizational skills and able to meet deadlines.
13. Should have a strong moral code and sense of ethics.
14. Should have a strong legal and moral integrity.

Must have, or be willing to obtain, a compliance certification in the following:

1. Canadian Securities Course is required.
2. Conduct and Practices Handbook is an asset.
3. The Investment Dealer Supervisor Course is to be completed within 6 months.

We are a rapidly growing team with a diverse group of clients – there is never a dull moment. We are thought leaders in the financial services industry, and we have been putting our client interests first for almost 30 years. Please apply with your cover letter and CV detailing why you feel you are the right fit for this role. We will contact you if you are accepted for a candidate interview. Thank you for your interest in this position.