Compliance Administrator

We are hiring a Compliance Administrator for our Financial Advisory client in Vancouver. This is a role that requires exceptional organizational skills, strong attention to detail and excellent administration abilities.

About Our Client
Our client is a financial advisory firm based in Vancouver and has been operating for the past 50 years. They offer a variety of services, including financial planning and ongoing monitoring. Advisors from the firm work very closely with the clients, ensuring their insights and experiences are integrated in their strategic planning.

About The Opportunity
The Compliance Administrator will be responsible for checking accounts, ensuring all documentation is compliant. Working closely with multiple teams, the role will also assist with reception coverage. The Compliance Administrator provides support to the compliance officer and reports on daily trade and accounts, ensures all documentation and client files are in order, assists with licensing and registration and assists and prepares annual filings.

About The Position

• Provides administrative support to the Compliance Officer.
• Responsible for correspondence, compliance reporting, trade and account supervision, tracking internal requirements.
• Manages and tracks licensing.
• Prepares and assists with annual filings.
• Supports supervision reporting preparation.
• Coordinates compliance training and development.
• Assists with internal audits and regulatory reviews, compiles documents.
• Assists with reception coverage.

The Requirements

• Post secondary education, degree in Business Administration or related field.
• 2+ years of experience in an administrative role.
• 2+ years of experience in the finance industry.
• Experience in compliance.
• Excellent organizational and communication skills.
• High level of attention to details.
• Canadian Securities Course is an asset.

Compensation

• Annual salary range is $55,000 - $65,000 depending on experience.
• Competitive benefits.
• 3 weeks vacation and personal days.
• RSP matching
• Flex days program

David Aplin & Associates Inc., operating as Aplin, and its associated brands, CompuStaff and Impact Recruitment, is an award-winning employment agency connecting diverse, top-tier talent with exceptional organizations across North America. We welcome applicants from all backgrounds and charge no fees to apply or engage with our recruiters. Our clients partner with us to help expand and diversify their teams. Please note that all applicants must be legally entitled to work in Canada, including holding any necessary work permits.