Compliance Specialist

Job Description

Job Description

Job Description

Company Description

LP Financial Planning Services Ltd. is a Winnipeg-based CIRO dealer that has been supporting financial advisors for over thirty years and continually strives to integrate industry-leading processes and systems. Presently servicing a select group of advisors in Ontario, Winnipeg, and Western Canada, LP Financial is taking steps to grow its footprint and service offering in the Canadian financial services distribution landscape.

The Compliance Specialist, reporting directly to the Chief Compliance Officer, will play a key role on the
operations team to fulfill the multifaceted regulatory obligations of a mutual fund dealer. This position has a broad range of responsibilities that will allow the successful candidate to learn, experience and flourish in many different areas of compliance.

• Conduct ongoing compliance monitoring activities of mutual fund registrants at either a Tier 1 or 2 level
• File NRD registration applications, notices and terminations
• Assist with the creation and updates of policy and procedures manual
• Work with the dealer’s Investment Product Committee to fulfil its KYP obligations
• Review marketing materials and co-operative marketing requests
• Maintain appropriate paper and electronic records
• Occasionally travel to branches to conduct reviews, interviews and/or training
• Keep abreast of changes to compliance procedures, firm policies, compliance manuals and rules,
  regulations and requirements of securities regulatory authorities
• Work to continually improve product and compliance knowledge by completing industry courses,
  participating in seminars, workshops and conferences, proactively reading internal publications,
  industry news and media releases, and sharing information and ideas with team members.
• Travel to various offices to perform reviews
• Other miscellaneous duties and special projects as assigned

Education & Experience

• Post secondary degree or diploma in business or finance
• 5+ years’ experience in the securities industry and regulatory environment (preferred)
• Industry courses (IFIC/CSC, Branch Managers’ Course, and/or Partners, Directors and Senior
  Officers) or willing to complete within a short time frame

Technical Knowledge 

• Diligent with strong time management and organization skills
• Sharp attention to detail
• Compelling verbal and written communication skills
• Advanced working knowledge of MS Office (Excel, PowerPoint, SharePoint and Word)

Skills & Abilities

• Strong attention to detail.
• Strong verbal and written communication skills.
• Strong time management and organization skills.
• Strong listening skills & the ability to follow through.
• Must have exceptional problem-solving skills.
• Excellent customer-focused attitude with the ability to build collaborative working relationships and commitment to providing extraordinary service to high-net-worth clients.
• Advanced organizational skills, adept at managing and prioritizing multiple tasks with competing deadlines.
• An ability to adapt quickly to changing needs and work requirements.

Comprehensive health, dental and vision benefits

Health & Wellness Spending Account

4% Matching RRSP allocation

Great workplace culture!