Elevate your career as a Compliance Associate, ensuring regulatory compliance and supporting financial service initiatives. Contribute to a culture of compliance and ongoing improvements in a vibrant firm.
This role is essential for overseeing compliance practices and supporting various compliance-related projects. You will conduct client account reviews, assist with regulatory filings, and collaborate with internal teams. Your meticulous attention to detail and strong communication will ensure the firm adheres to industry regulations effectively.
Key Responsibilities:
• Review Tier 2 reports and transactions for compliance
• Identify and escalate compliance matters promptly
• Support regulatory filing processes and audits
• Assist in developing and updating compliance policies
• Engage in compliance training and support initiatives
Requirements:
• 1–3 years of compliance experience in financial services
• Familiarity with wealth management products
• Proficient with Microsoft Excel and data analysis tools
• Robust detail orientation and communication skills
• Prior experience with compliance monitoring tools preferred
Shape the future of compliance practices in a leading wealth management firm that values growth and excellence.
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Apply on Kit Job: kitjob.ca/job/2g8ykn
📌 Dynamic Compliance Associate Role in Wealth Management Compliance (Vancouver)
🏢 Harbourfront Wealth Management
📍 Vancouver
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