Compliance Specialist

Job Description

<h3>Job Description</h3><p>Job Description<p>Company Description<br><br><p>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.</p><p>The Compliance Specialist, reporting directly to the Chief Compliance Officer, will play a key role on the<br /> 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.</p>Job Description<br><br><ul><li>Conduct ongoing compliance monitoring activities of mutual fund registrants at either a Tier 1 or 2 level</li><li>File NRD registration applications, notices and terminations</li><li>Assist with the creation and updates of policy and procedures manual</li><li>Work with the dealer’s Investment Product Committee to fulfil its KYP obligations</li><li>Review marketing materials and co-operative marketing requests</li><li>Maintain appropriate paper and electronic records</li><li>Occasionally travel to branches to conduct reviews, interviews and/or training</li><li>Keep abreast of changes to compliance procedures, firm policies, compliance manuals and rules,<br /> regulations and requirements of securities regulatory authorities</li><li>Work to continually improve product and compliance knowledge by completing industry courses,<br /> participating in seminars, workshops and conferences, proactively reading internal publications,<br /> industry news and media releases, and sharing information and ideas with team members.</li><li>Travel to various offices to perform reviews</li><li>Other miscellaneous duties and special projects as assigned</li></ul>Qualifications<br><br><p>Education & Experience</p><ul><li>Post secondary degree or diploma in business or finance</li><li>5+ years’ experience in the securities industry and regulatory environment (preferred)</li><li>Industry courses (IFIC/CSC, Branch Managers’ Course, and/or Partners, Directors and Senior<br /> Officers) or willing to complete within a short time frame</li></ul><p>Technical Knowledge </p><ul><li>Diligent with strong time management and organization skills</li><li>Sharp attention to detail</li><li>Compelling verbal and written communication skills</li><li>Advanced working knowledge of MS Office (Excel, PowerPoint, SharePoint and Word)</li></ul><p>Skills & Abilities</p><ul><li>Strong attention to detail.</li><li>Strong verbal and written communication skills.</li><li>Strong time management and organization skills.</li><li>Strong listening skills & the ability to follow through.</li><li>Must have exceptional problem-solving skills.</li><li>Excellent customer-focused attitude with the ability to build collaborative working relationships and commitment to providing extraordinary service to high-net-worth clients.</li><li>Advanced organizational skills, adept at managing and prioritizing multiple tasks with competing deadlines.</li><li>An ability to adapt quickly to changing needs and work requirements.</li></ul><br><br>Additional Information<br><br><p>Comprehensive health, dental and vision benefits</p><p>Health & Wellness Spending Account</p><p>4% Matching RRSP allocation</p><p>Great workplace culture!</p></p></p>