Compliance Officer

Job Description

<p>We're expanding our Wealth Management team and searching for a passionate, driven and energetic candidate for the position of<br>Compliance Officer<br>.</p><p>Skyline Wealth Management, a division of the Skyline Group of Companies, is a premier wealth planning and investment firm that offers clients a best-in-class investor experience, and a comprehensive approach to unique alternative investment products and financial planning services. This full-time position will be located at our office in<br>Oakville, ON<br>and will report to the Acting Chief Compliance Officer.</p><p>What you will be doing:</p><ul><li>Apply policies and regulatory rules appropriately to respond to compliance related inquiries from the Wealth Management team.</li><li>Assist in the creation and implementation of new and amended policies and procedures for compliance initiatives and controls, ensuring applicable securities laws and National Instruments are adhered to.</li><li>Monitor compliance and individuals acting on its behalf, with applicable securities legislation.</li><li>Perform all trade reviews.</li><li>Monitor KYC/KYP suitability and other rules by reviewing applications and trade activity.</li><li>Maintain registration for the firm and its registrants.</li><li>Assist with departmental and enterprise initiatives as required.</li></ul><p>What we look for:</p><ul><li>Strong oral and written communication skills in English.</li><li>Problem solving skills necessary to resolve routine and non-routine compliance issues.</li><li>A positive attitude You can handle any problem with optimism.</li><li>Minimum 2 years compliance and/or investment experience with an exempt market dealer.</li><li>Completed Canadian Securities Course, Exempt Market Proficiency Course or equivalent, or in progress of completion.</li></ul><p>Why you want to work here:</p><ul><li>You get a thrill from staying organized and details are your "thing".</li><li>You believe in following the rules and mistakes never get by you.</li><li>You get excited about providing superior customer service and from knowing that you positively impact people's lives every day.</li><li>Being that person who can see the problems before they happen (think the matrix) and use good judgment and innovation to solve it is your specialty.</li><li>You want to work for a company that supports work-life balance and truly cares that you are happy.</li><li>Working for a growing company that supports environmental stewardship and social responsibilities is a must for you. Learn more about our sustainability commitments here.</li></ul><p>Skyline is a capital management company that acquires, develops, and manages real estate properties and clean energy assets, and offers them as private alternative investment products.</p><p>We offer our employees competitive pay, benefits, paid volunteer day, on-going training, growth potential and so much more. Our workplace culture empowers staff at all levels to become involved in supporting and building vibrant communities.</p>