Leith Wheeler Investment Counsel Ltd. is an employee-owned firm, headquartered in Vancouver with offices in Calgary, Toronto and Montreal. We manage over $36 billion of assets on behalf of pension, foundation, corporate, Aboriginal, and individual clients across Canada.
We are seeking an experienced Compliance Officer to add to our compliance team in Vancouver or Toronto. You will be responsible for marketing and advertising reviews, portfolio monitoring, compliance audits, regulatory filings and other compliance tasks to help deliver a positive client experience and to improve operational efficiency.
The ideal candidate will bring strong investment management compliance experience or relevant business-line experience, and will be detail-oriented, collaborative, and passionate about learning and building a strong compliance program while supporting a growing investment management business.
Responsibility Areas:
- 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 clients
- 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
Qualification and Experience:
- 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.
- Good understanding of the Canadian securities’ regulatory environment
- Experience with various compliance requirements including AML, investment funds, FATCA/CRS
- Proficiency in Excel, Word, PowerPoint, 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
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: 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).
Diversity and Inclusion:
Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, color, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.
If you possess an entrepreneurial spirit and are excited about being a part of an employee-owned firm where your contributions matter, this opportunity may be just right for you. Please send us your resume along with a cover letter at careers@leithwheeler.com
