PWL Wealth Management is a premier independent Canadian Wealth Management firm. Canadian High Net Worth families entrust PWL to manage their investment portfolios on a discretionary basis and provide holistic financial advice for all facets of their lives.
Financial Planning, Tax and Estate services are delivered via PWL Conseil, and investment management is delivered via PWL Capital which is a Broker Dealer and CIRO member firm. Both PWL Conseil and PWL Capital are wholly owned subsidiaries of PWL Wealth Management, with more than 100 employees.
Position Summary
PWL is seeking a Senior Compliance Officer to join a dynamic, collaborative team dedicated to maintaining the highest standards of regulatory compliance in a fast-paced environment. Reporting directly to the Chief Compliance Officer (CCO), the Senior Compliance Officer will take on a key role in the daily operations of the compliance program, providing oversight, analysis, and execution of core compliance functions across the firm.
This is an exciting opportunity for an experienced compliance professional to contribute to the integrity of the firm's operations, while also taking a lead role in monitoring regulatory developments, supporting internal audits, and guiding the evolution of compliance processes. The Senior Compliance Officer will work closely with the CCO to ensure PWL's activities align with regulatory expectations and internal policies, while supporting continuous improvements across compliance operations.
This is a hybrid position. Ideally, the candidate is based in or near Ottawa or Montreal, with a requirement to be present at one of these offices once a month.
Responsibilities & Activities
Daily
Review and approval of certain client's risk rating (EDD)
Complete trade error corrections as required
Review and approval of the Post-trade daily trade and bookkeeping reports for all non-managed and managed accounts
Approving new client account openings and KYC updates
Monthly
Provide oversight over monthly (any other frequencies) processes to ensure completion
Monitor activities to ensure compliance with Policies and Procedures
UN monthly reporting submission
Quarterly
Preparation and review of the Quarterly Due Diligence audit for review and distribution to the PWL Advisors Teams
Preparation and review of various regulatory reports
As required
Submission of continuing education credits for all CIRO registered employees
Create submission in NRD for registrants as required
Follow up on the annual attestations and AML courses
Maintain a watchful eye on all on-going regulatory developments and changes (CSA, CIRO, FINTRAC, IRS), analyze the impact to PWL policies and procedures, and propose appropriate changes to the CCO
Collaborate in the compliance audits conducted by regulatory agencies as well as external auditors
Assist with periodic training on regulatory changes/updates, PWL's Policies and Procedures and AML regulations
Participate in projects as required
Once the Investment Dealer Supervisor Course is completed and CIRO approved the candidate as a "supervisor for advertising and correspondence", the Senior Compliance Officer will assist with the review and approval of social media and external content
All other related tasks as assigned.
Qualifications & Skills
Minimum of 5 years of pertinent experience in the securities industry within a CIRO-regulated firm
Must hold the Portfolio Manager designation and be in good standing with CIRO, or hold the CIM designation along with at least two years of relevant investment management experience acceptable to CIRO, or already possess the Supervisor for Managed Accounts category with CIRO
Must successfully complete the Investment Dealer Supervisor Course within the first 4 months of employment
French is an asset
Proven experience participating in regulatory audits (CIRO, OSC)
Extensive experience with Microsoft Suite applications such as Excel (v-lookup, pivot tables, etc.), Word, ?and SharePoint
Strong knowledge of legal requirements and CIRO procedures (FINTRAC, CSA etc.)
Ideal Candidate Profile
Highly organized and analytical with exceptional attention to detail to identify and mitigate compliance risks
Upholds high professional and ethical standards
Thrives in a role with variety and evolving responsibilities
Open, collaborative, and an excellent team player
Clear and effective communicator
Strong client service orientation
Takes initiative and self-motivated
Enjoys working in an entrepreneurial environment
Adaptable to small and growing organizational environment
Work Environment
PWL takes great pride in providing unparalleled wealth management services to individuals and families across Canada. In this dynamic environment, we value doing what is right for clients, making evidence-based decisions, personal accountability, innovation and humility. To thrive in this role, you must be dedicated to continuous learning and development, with a steadfast commitment to delivering an exceptional client experience.
Job Type: Full-time
Benefits:
Dental care
Disability insurance
Employee assistance program
Extended health care
Life insurance
Paid time off
RRSP match
Vision care
Wellness program
Work from home
Schedule:
Monday to Friday
Application question(s):
Are you legally eligible to work in Canada?
Are you willing to complete the Investment Dealer Supervisor Course within the first 4 months of employment?
Do you have extensive knowledge of legal requirements and CIRO procedures (FINTRAC, CSA, etc.)?
Do you have experience participating in regulatory audits (CIRO, OSC)?
Do you have extensive experience with Microsoft Suite applications such as Excel (v-lookup, pivot tables, etc.), Word, ?and SharePoint?
Will you be able to commute for office presence once a month in either Ottawa or Montreal?
Do you have at least 5 years of experience in the securities industry within a CIRO firm?
Please confirm if you:
1) Hold the Portfolio Manager designation and are in good standing with CIRO, or
2) Hold the CIM designation along with at least two years of relevant investment management experience acceptable to CIRO, or
3) Already possess the Supervisor for Managed Accounts category with CIRO
Language:
French (preferred)
Work Location: Hybrid remote in Montreal, QC
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