Senior Compliance Associate

Value Partners Investments • Winnipeg, Manitoba, Canada • 1w ago

Company Description

Founded in 2005, Value Partners Investments (VPI) is a Winnipeg-based investment firm that currently manages over $5.1 Billion in assets primarily through nine investment funds as well as through Value Partners Investment Counsel (VPIC) which provides discretionary investment management services to wealthy families across Canada. Over the past 19 years, we have created more than $2.1 Billion in investment gains for clients. This track record of success has enabled us to become one of Canada’s fastest growing companies as ranked by Profit Magazine.

We are currently seeking a highly dependable, polished, results-oriented professional to fill the role of a Senior Compliance Associate. Reporting directly to the Chief Compliance Officer of Value Partners Investments, the successful candidate will be responsible for assisting the Compliance department with ongoing compliance activities of VPI, its mutual funds and its investment counseling services. This position will report directly to the Chief Compliance Officer. This position has a broad range of responsibilities that is expected to expand as the company continues to grow.

You have a strong desire to help people, you would enjoy joining a team where our best days come from knowing we have helped our clients live their fullest life. Our job can be technical and precise, but our joy comes from supporting our exceptional client base, whom we’ve built close trusted relationships with.

Job Description

Conduct ongoing compliance activities for mutual fund operations.
Conduct ongoing compliance activities for investment counsel operations.
Assist with the preparation and filing of the Prospectus, Annual Information Form, Fund Facts and Offering Memorandum documents.
Assist with the review of marketing materials and co-operative marketing requests.
Assist with the review of account opening documents for discretionary managed accounts.
Assist the business development team to service advisors and other clients.
Maintain appropriate paper and electronic records.
Other compliance and/or administrative tasks, as assigned.
Keep abreast of changes to compliance procedures, firm policies, compliance manuals and rules, regulations, and requirements of securities regulatory authorities; and
Work to continually improve product and compliance knowledge by completing industry courses, participating in seminars, workshops, and conferences, proactively reading internal publications, industry news and media releases, and sharing information and ideas with team members.
Other miscellaneous duties and special projects as assigned

Qualifications

Education & Experience

University degree or college diploma.
Canadian Securities Course/ Wealth Management Essentials/ CFP or PFP.
Knowledge/experience in the securities industry and regulatory environment (preferred)

Technical Knowledge

Advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word).
Excellent writing (grammar) skills.
Experience in working with portfolio management software’s.

Skills & Abilities

Strong attention to detail.
Strong verbal and written communication skills.
Strong time management and organization skills.
Strong listening skills & the ability to follow through.
Must have exceptional problem-solving skills.
Excellent customer-focused attitude with the ability to build collaborative working relationships and commitment to providing extraordinary service to high-net-worth clients.
Advanced organizational skills, adept at managing and prioritizing multiple tasks with competing deadlines.
An ability to adapt quickly to changing needs and work requirements.