Compliance Associate
Owens MacFadyen Group
Moncton, Toronto, Halifax, Saint John,

Owens MacFadyen Group (OMG) is a boutique Wealth Management firm which specializes in the high-net-worth market. Since 1995, we have been providing a unique team-based approach to Comprehensive Wealth Management that allows our clients to have significantly better outcomes.

We are well respected by our clients and within our industry. Business leaders have recognized us as a key partner in their success. With over 90 employees, we have continued to grow successfully in Halifax, Moncton, Saint John and Toronto.

We are looking for a Compliance Associate to join our team. Reporting to the Chief Compliance Officer, you will support the overall compliance function and culture of the business. You will be one of the primary resources for Advisors, Associates, Administrators, and Regulators. This is a technical, content heavy position that will require a deep understanding of the business and the ability to manage a high volume of information flowing from both internal and external sources.

The successful candidate will be expected to complete the necessary courses to obtain status as an Investment Dealer Supervisor with the Canadian Investment Regulatory Organization (CIRO) within the first six months with OMG.

Key Responsibilities

• Review and ensure compliance with the requirements of CIRO's Dealer Member Rules as well as insurance industry regulations and FINTRAC guidance
• Responsible for maintaining registrant profiles through the National Registration Database
• Review account opening documents to ensure KYC and suitability requirements have been met
• Review client files to ensure they are accurate and complete
• Review & analyze daily, weekly and monthly transaction reports
• Perform regulatory compliance checks /practice audits to guarantee continuous regulatory compliance
• Responsible for answering compliance-related questions to provide regulatory guidance
• Stay up to date with regulatory changes

Desired Skills & Experience

• A minimum of two years of related work experience, ideally in compliance, finance, or operations from a financial and/or investment firm
• An undergraduate degree or diploma and/or an acceptable combination of education and progressively responsible work experience
• Successful completion of Canadian Securities Course, Conduct and Practices Handbook Course, and the Investment Dealer Supervisors Course would be a strong asset
• Bilingual English & French would be a strong asset
• Ability to work efficiently under pressure, both individually and as part of a team, dealing with changes and interruptions while maintaining strict deadlines
• Strong oral and written communication skills
• High attention to detail and accuracy
• Previous experience handling confidential or sensitive information with integrity
• Understands and recognizes priorities, deadlines and has a sense of urgency

Benefits of working with Owens MacFadyen Group

• Competitive compensation and comprehensive benefits program
• Leading edge technology with proprietary tools and technologies available
• Positive culture where team members are valued and respected
• Support of ongoing professional development throughout career
• Collaborative team environment

Please send your resume to [email protected]