Compliance Associate
Reporting to: Dale Hawthorn, President & Co-Chief Executive Officer, The Compliance Associate should have a Bachelor’s degree in Business, Finance, Law, or related field. Relevant certifications (e.g., CSC) are an asset but not mandatory.
Tasks, Role & Responsibilities
Supporting the Chief Compliance Officer in completing compliance tasks as required on a daily, weekly, monthly, quarterly, annually or semi-annual basis.
Managing regulatory obligations for BCV’s referral party network including performing due diligence, communication with and ongoing monitoring.
Participate in internal compliance reviews or external regulatory audits.
Maintaining compliance calendar.
Maintain personal trading reviews and tracking.
Implementation of training program(s) and maintaining of training logs.
Stay up-to-date with relevant regulatory changes and industry best practices by proactively reading internal publications, industry news and media releases —because rules love to evolve!
Maintain compliance documentation and records according to firm policies.
Other compliance and administrative tasks, as assigned.
Critical Knowledge, Skills and Abilities
1 to 3 years of experience in compliance, risk management, or a related financial services role.
Strong understanding of regulatory frameworks relevant to asset management or financial services.
Excellent attention to detail and strong organizational and time management skills.
Effective communication skills to liaise with internal or external stakeholders.
A demonstrated ability to work independently and within a fast-paced environment
Ability to analyze issues and provide clear, thoughtful recommendations.
Proficiency with the Microsoft Office suite, particularly Excel.
Just the start of what BCV can offer:
A comprehensive suite of Health & Wellness and Flexible benefits.
Strong educational support and professional development.
Highly competitive compensation and profit sharing.
Generous Pension plan, a weekly chef, and much more.
Not checking every box?
Sounds like the job for you but you don’t think you have what it takes on paper? Reach out to us anyway!
We are committed to diversity and inclusion and welcome applications from all genders, all cultures, persons with disabilities, and persons of all sexual orientations.
If you possess the above skills and traits, and desire to grow and make a difference with our amazing local company, we invite you to learn more about this exciting opportunity. Please submit your resume and cover letter in confidence to Kimberly Wallace, Manager, People and Culture at kwallace@bcvfinancial.com
If you require accommodation for the recruitment process, please let us know when you submit your application.
We sincerely appreciate your interest and thank all applicants, however, only those selected for an interview will be contacted.
