Job Description: Provides advice and guidance to client service teams on account opening, KYC, AML, and other related business processes Conduct compliance reviews and assess effectiveness of internal controls Review and approve marketing and advertising materials Monitor and supervise trading activity through Latent Zero Sentinel compliance system Prepare compliance reports for funds and client Ensure the firm complies with client’s investment policy statements by reviewing and escalating daily alerts generated from the compliance monitoring system Assist in the oversight of the firm’s policies, processes, and procedures as they relate to securities regulations, AML, and FATCA/CRS.

Develop and enhance processes for the firm’s automated compliance monitoring system, including rules maintenance, implementation, and updates.

Assist in the preparation and filing of regulatory reporting Develop written procedures and implement internal controls Support the development of the firm’s business and perform other duties or special projects as assigned What We Offer: Employee Ownership: This is the heart of what makes Leith Wheeler different.

As an employee-owned firm, we believe in rewarding those who contribute to our collective success.

Team members have the opportunity to become future shareholders and grow alongside the firm.

Open and Transparent Culture: We value open dialogue,collaboration, and trust.

Everyone has a voice, and ideas are encouraged - whether they come from a new hire or a long-time partner.

Team-Oriented and Supportive Environment: You’ll work closely with experienced professionals who are approachable, respectful, and invested in each other’s success.

Learning and Development: As part of a boutique firm, you’ll gain exposure to multiple facets of the investment business and have the chance to broaden your skills and impact.

Shared Purpose:



Join a firm built on independence, integrity, and long-term relationships where we measure success by the trust we build and the results we deliver for our clients.

Competitive Compensation Package: Salary range of $80,000 - $100,000 per annum, with flexibility for exceptional candidates with highly relevant experience.

Benefits: Comprehensive health and dental benefits from day one (no waiting period).

Job Qualifications: 5 to 10 years of relevant experience within a registered portfolio manager, investment management, or securities firm Post-secondary degree in finance, Business, Law, or a related field CFA Charter or enrollment in the CFA program is an asset or enrolment in or completion of relevant courses such as the Canadian Securities Course (CSC), Conduct & Practices Handbook (CPH), or progress toward compliance-related certificate or designation Experience working with a variety of client types, such as individuals, foundations, pensions, charities, etc.

Positive understanding of the Canadian securities’ regulatory environment Experience with various compliance requirements including AML, investment funds, FATCA/CRS Proficiency in Excel, Word, Power

Point, and Outlook Experience with AI-enabled tools and their practical application to compliance, regulatory research, data analysis, and workflow automation is an asset Experience with portfolio accounting systems (e.g. APX) is preferred Experience with order management and compliance systems is an asset Familiarity with Salesforce software is preferred Professional Competencies: Client-first mindset and ability to communicate with professionalism High attention to detail and strong organizational skills High degree of professional ethics and integrity A keen eye for detail Thrives in a team environment, and effectively contributes to the team Highly proficient at managing multiple tasks and changing priorities

📌 Compliance Officer (Vancouver)
🏢 Leith Wheeler Investment Counsel
📍 Vancouver