Compliance Officer

Compliance OfficerFull-Time | Permanent | Hybrid

(Vancouver Island or Calgary with travel as required)

Who We Are

Alitis is an Island-based, employee-owned discretionary portfolio management firm providing endowment-style portfolio management and comprehensive wealth planning services. Our team operates with an entrepreneurial, client-focused, and team-based spirit. Client testimonials and excellent retention rates reflect the enduring relationships that are a hallmark of the Alitis brand. With offices in Campbell River, Comox, and Victoria, we take a holistic approach to wealth management, supported by experienced Portfolio Managers, Financial Planners, and Insurance Specialists.

The Opportunity

Alitis Investment Counsel is actively seeking a dedicated team member to join our team!

This role may be based on Vancouver Island or in Calgary. Candidates must be willing to travel to Vancouver Island as needed, particularly to support in-person collaboration during visits from the Chief Compliance Officer, Chief Risk Officer.

Reporting to the Chief Compliance Officer, Chief Risk Officer, you will be primarily responsible for daily and monthly account reviews, KYC reviews, and marketing reviews. You will also be responsible working with staff to implement corrective actions and ensuring compliance with the firm’s policies and procedures as well as industry regulations.

With a foundation in compliance and a commitment to integrity, this individual will act as a liaison acting as a trusted compliance resource with a responsive, “help desk” approach.

Responsibilities

• Conduct supervision activities including daily and monthly reviews.
• Through daily and monthly trade reviews activities identify and help resolve issues impacting risk, regulatory requirements, and our policies and procedures.
• Assist CCO with FINTRAC AML Requirements
• Provide support to the CCO with Regulatory requirements and internal audits
• Reporting as required
• Assist with the coordination of documentation in support of internal or supervisory investigation and/or regulatory and quarterly reporting requirements
• Support licensing, registration
• Other responsibilities based on experience and knowledge

Experience and Qualifications

• Minimum 3 years of experience in a similar role
• Preference will be given to candidates who have their Canadian Securities Course, Mutual Fund Course or Exempt Market Course.
• ML/ATF Experience

Key Competencies

• Strong organizational skills
• Excellent written and oral communication skills
• Self-motivated with ability to work independently within a team.
• A team player willing to contribute to building Alitis brand and assets.
• Positive, collaborative, and conducts themselves with integrity in everything they do.
• Experience with Microsoft Office Suite, Salesforce and Dataphile is an asset.
• Experience working in regulatory environment and/or knowledge of concepts relevant for regulatory complaints management

A strong preference will be given to candidates with experience in client services, financial services, or back-office administration, ideally within a CIRO or CSA firm, and who demonstrate the skills and maturity to work independently.

Compensation and Benefits

• Annual salary of $70,000 – $75,000 commensurate with experience.
• Employer funded group RRSP
• Comprehensive group benefits program

How to Apply

We’d love to hear from you. Please apply directly through our Indeed posting by submitting your resume and coverletter.

Alitis is an equal opportunity employer. We are committed to creating a diverse environment. All applicants will receive consideration for employment without regard to race, colour, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, or age.

We thank all candidates for their applications; however, only shortlisted candidates will be contacted.

Please note that we are unable to provide any sponsorship or support work visas of any kind at this time. Applicants must be able to work in Canada for any employer in a full-time, permanent capacity without sponsorship.

Job Type: Full-time

Pay: $70,000.00-$75,000.00 per year

Benefits

• Company events
• Dental care
• Employee assistance program
• Extended health care
• Life insurance
• Mileage reimbursement
• Paid time off
• RRSP match
• Vision care
• Wellness program
• Work from home

Application question(s):

• Do you have experience in a compliance or regulatory role within financial services?
• Have you performed tasks such as trade reviews, KYC reviews, or account supervision?
• Are you able to work from Vancouver Island or Calgary and travel to Vancouver Island as needed?
• Do you have experience with AML/ATF or FINTRAC requirements?

Work Location: Hybrid remote in Comox Valley A, BC