Job Description

At , we strive to build value for the people who choose us every day: our people, our clients and our investors. We do this by holding true to the values that guide us. We put people first and build relationships with intention. We seek out and embrace new ideas, knowing that better is always possible. We believe that how we do things is as important as what we do. And we harness the power of inclusion. Our culture is who we are and how we show up - as individuals and as a team - to accomplish our strategy.

Role Specifications

Everyday Flexibility. Hybrid work environments. On-site requirements.
Location: Calgary, Edmonton, and Toronto

Are you meticulous when it comes to details? Do you have a passion for compliance in the finance industry?

CWB Wealth Providing peace of mind for all of life.

With an integrated wealth management approach, CWB Wealth delivers sophisticated financial plans that compliment our client\xe2\x80\x99s investment portfolio. Our financial strategies are designed diligently to be woven into the fabric of the client\xe2\x80\x99s lives, a competitive advantage that many other organizations cannot match. Our dedicated team believes that wealth management is more than \xe2\x80\x9cjust investing\xe2\x80\x9d. We develop integrated solutions that produce tangible results to ensure our clients\xe2\x80\x99 complete peace of mind. With a team of 70+ team members managing over 8 billion in assets, CWB Wealth builds on the strength and support of CWB Financial Group and our subsidiaries, CWB Wealth Partners (CWBWP) and CWB Wealth, to deliver harmonized banking, comprehensive investment management and meticulous wealth planning strategies as unique as our clients\xe2\x80\x99 needs.

Our team is highly driven, with an energetic, client-focused approach that runs throughout. We rely on each other and focus on doing what\xe2\x80\x99s best for our clients above all else. The genuineness of individuals, management, and each interaction is a culture we pride ourselves on. If you can see yourself as part of our growing and dedicated team, we want to hear from you!

The Opportunity

As a Compliance Analyst, you will provide support to the CWBWP\xe2\x80\x99s Compliance team. You\xe2\x80\x99ll ensure critical functions for regulatory and reporting requirements are adhered to, and will be responsible for supporting the Senior Compliance Officer in monitoring processes & workflows, while creating efficiencies and conducting compliance oversight activities to ensure the framework is completed within requirements.

Specific accountabilities

Compliance focused. Optimizer. Quick to learn. Analytical.

Provide analytical reporting and tracking of Know Your Client (KYC) updates to the Client Service team, ensuring clients are on cycle for their required updates.

Act independently in conducting relevant research and provide recommendations based on the exercise of good judgement on moderately complex issues.

Collaborate with Client Service team to review outstanding client documents and conduct follow-ups.

Collaborate with Operations, Marketing and Client Service teams to enhance client documentation.

Responsible for providing support in risk analytics and cyclical reporting within required timeframes.

Pro-actively identify actual and potential violations of regulatory requirements, internal policies & procedures, or other risk situations.

Responsible for reporting to New SRO (\xe2\x80\x9cIIROC\xe2\x80\x9d) for debt securities transactions via MTRS 2.0 system.

Upload client data into AML software VERAFIN and review alerts for potential terrorists, sanctioned people and entities, special interest persons and PEP\xe2\x80\x99s both foreign and domestic.

Identify enhancements opportunities and create efficiencies in current compliance tasks and reporting.

Conduct analysis of client data to identify trends and the creation of heat maps & charts.

Responsible for maintaining organized compliance files for audit purposes.

Assist with developing standard operating procedures, recommended common practices, and establishing precedents to ensure optimal results are achieved as an organization.

Skills and competencies that will take you further

Core knowledge requirements

Diploma/Degree in a business-related field is an asset.

Relevant industry accreditations such as completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH) would be an asset.

Demonstrated experience

Minimum one year of related experience is desired.

Knowledge of New SRO (\xe2\x80\x9cIIROC\xe2\x80\x9d) policies and procedures.

Knowledge of securities wealth management regulatory compliance and operations requirements.

Intermediate understanding of Microsoft Office suite of programs, with the technical ability and confidence to quickly master CWBWP operations and compliance software.

Proficient with Excel spreadsheets with validated analytical and trouble-shooting skills.

Personal Competencies

Strong written and verbal communication skills.

Articulate a strong client centric culture.

Strong analytical skills and a keen eye for detail.

Ability to prioritize and handle pressure and demanding workloads.

Ability to recognize and handle confidential information.

Ability to multi-task in a fast-paced environment, sound time management, exceptional organizational skills, and insistent attention to details are crucial.

Ability to cope and adapt well to change, must have an ongoing commitment and dedication to continuous learning and development in investment industry, compliance, and operations knowledge.

Self-motivated and proactive attitude \xe2\x80\x93 always thinking ahead, with proven problem-solving skills and ability to exercise good judgement and common sense.

Change your career trajectory with CWB. Apply today.

Why work with us?

Winners of Canada\xe2\x80\x99s Most Admired Corporate Culture 2021 &

Recognized as one of 50 Best Workplaces in Canada by Great Place to Work\xc2\xae 2022

& Best Workplaces for Mental Wellness in Canada 2021

Values driven people first benefits

Wellness matters. We offer an award-winning benefits package that includes hybrid work environments, everyday flexibility, 100% company-funded health coverage, health care spending account, a flexible wellness program & generous time-away options to unplug, rest & recover. Bring your whole self to work. Inclusion is a journey requiring practice & experience to result in a powerful outcome. Your perspective matters & voice will be heard. Find a community within the CWB family in our employee represented groups. Career development. We invest in our employees\xe2\x80\x99 development to help them reach their professional goals with organization wide Coaching services. Strategic career design is an investment in our core asset \xe2\x80\x93 our people. Innovation. Learn. Grow. Enhance. At CWB, we play to win. When we fail, we fail forward. Recognition. Peer-to-peer recognition programs for \xe2\x80\x9cin the moment\xe2\x80\x9d and monumental wins. Community giving. Make a difference. Drive economic prosperity in your community. Get involved. Volunteer. Fundraise. All with CWB support. ESG & sustainability focused. Be proud of where you spend, work & invest. Financial rewards. Base salary & pay for performance incentives. Retirement investment strategy. You can\xe2\x80\x99t work forever! So, we\xe2\x80\x99ve got you covered. Company ownership. No greater sense of motivation & empowerment than being an owner! Find your \xe2\x80\x9cwhy\xe2\x80\x9d at

Put your career in the spotlight. Apply with CWB today.

#LI-AI1

As an equitable employer, CWB Financial Group is committed to providing a safe and where a diverse workforce thrives. You are welcomed and encouraged to bring your whole self to work. Dignity, respect and equality are non-negotiables. If you require during any part of the recruitment or selection process, please reach out.

Closing Date:

• Position closes at 12:01am on the close date identified below. 02/27/2023

Canadian Western Bank