Organizational Overview
PWL Wealth Management is a premier independent Canadian Wealth Management firm. Canadian based 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.
| Department | Compliance |
| Location | Hybrid, Ottawa or Montreal. Office presence required once a month in Ottawa or Montreal Office |
| Type | Permanent, full-time |
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.
Key Responsibilities
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.
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