PortfolioHiWay is a Canadian wealth management technology firm created to seamlessly connect investors, advisors and third-party managers. Our goal is to simplify investing by offering an improved client experience at every level. PortfolioHiWay helps clients streamline processes, enhance scalability and reduce operational risks while expanding their investment universe and lowering overall costs. We do this by combining innovative technology and enhanced service offerings to automate many day-to-day aspects of running a business so that advisors can focus on their clients.
We are looking for a proactive, detail-oriented, and results-focused Compliance Associate to join our team. This position would report to the Deputy CCO and provide support to the compliance function.
Key Responsibilities
The position will have various responsibilities including but not limited to:
- Regulatory filings
- Develop and maintain knowledge of regulatory/compliance requirements for the firm/registrants
- Maintenance and implementation of compliance policies and procedures manual
- Develop and provide training programs to staff on compliance matters
- Ensuring PortfolioHiWay complies with Anti-Money Laundering and Anti-Terrorist Financing obligations
- Assisting with responses to audits, inquiries and reviews from regulatory authorities
- Compliance projects
- Fostering the continuation of a strong compliance culture throughout the firm
Education And Professional Experience
- University Degree in a relevant field (business, law etc.)
- Canadian Securities Course (CSC)
- Minimum 3 years’ experience in a compliance or operations role at aCIRO investment Dealer
- Working knowledge of CIRO Investment Dealer and Partially Consolidated Rules, Privacy and AML/ATF
- Superior problem-solving, critical thinking, and analytical skills
- Self-motivation with strong prioritization and time management skills
- Ability to effectively multi-task, and be extremely well organized
- Enthusiasm and willingness to learn
- Team player mindset and is collaborative, committed and dependable
- Excellent communication skills, both written and verbal
- Strong interpersonal skills with the ability to build and maintain positive relationships with all stakeholders
PortfolioHiWay is proud to be an Equal Opportunity and Affirmative Action Employer. We evaluate qualified applicants without regard to race, national origin, religion, gender, sexual orientation, gender identity, disability, protected veteran status, and other statuses protected by law.
We sincerely thank all applicants for their interest, however only those in consideration for the opportunity will be contacted.