Full-Time | Permanent | Hybrid(Vancouver Island or Calgary with travel as required)Who We AreAlitis is an Island-based, employee-owned discretionary portfolio management firm providing endowment-style portfolio management and comprehensive wealth planning services. Our team operates with an entrepreneurial, client-focused, and team-based spirit. Client testimonials and excellent retention rates reflect the enduring relationships that are a hallmark of the Alitis brand. With offices in Campbell River, Comox, and Victoria, we take a holistic approach to wealth management, supported by experienced Portfolio Managers, Financial Planners, and Insurance Specialists.The OpportunityAlitis Investment Counsel is actively seeking a dedicated team member to join our team!This role may be based on Vancouver Island or in Calgary. Candidates must be willing to travel to Vancouver Island as needed, particularly to support in-person collaboration during visits from the Chief Compliance Officer, Chief Risk Officer.Reporting to the Chief Compliance Officer, Chief Risk Officer, you will be primarily responsible for daily and monthly account reviews, KYC reviews, and marketing reviews. You will also be responsible working with staff to implement corrective actions and ensuring compliance with the firm’s policies and procedures as well as industry regulations.With a foundation in compliance and a commitment to integrity, this individual will act as a liaison acting as a trusted compliance resource with a responsive, “help desk” approach.ResponsibilitiesConduct supervision activities including daily and monthly reviews.Through daily and monthly trade reviews activities identify and help resolve issues impacting risk, regulatory requirements,



and our policies and proceduresAssist CCO with FINTRAC AML RequirementsProvide support to the CCO with Regulatory requirements and internal auditsReporting as requiredAssist with the coordination of documentation in support of internal or supervisory investigation and/or regulatory and quarterly reporting requirementsSupport licensing, registrationOther responsibilities based on experience and knowledgeExperience and QualificationsMinimum 3 years of experience in a similar rolePreference will be given to candidates who have their Canadian Securities Course, Mutual Fund Course or Exempt Market Course.AML/ATF ExperienceStrong organizational skillsExcellent written and oral communication skillsSelf-motivated with ability to work independently within a teamA team player willing to contribute to building Alitis brand and assetsPositive, collaborative, and conducts themselves with integrity in everything they doExperience with Microsoft Office Suite, Salesforce and Dataphile is an assetExperience working in regulatory environment and/or knowledge of concepts relevant for regulatory complaints managementA strong preference will be given to candidates with experience in client services, financial services, or back-office administration, ideally within a CIRO or CSA firm, and who demonstrate the skills and maturity to work independently.Compensation and BenefitsAnnual salary of $70,000 – $75,000 commensurate with experienceAlitis is an equal opportunity employer. We are committed to creating a diverse setting. All applicants will receive consideration for employment without regard to race, colour, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, or age.#J-18808-Ljbffr

📌 Compliance Officer - C$70,000 - C$75,000 A Year (Winnipeg)
🏢 Alitis
📍 Winnipeg