Compliance Officer
Leede Financial Markets Inc. - Vancouver, BC

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Leede Financial is seeking a qualified Compliance Officer to work in our downtown Vancouver office. Leede Financial is a dynamic, Western Canadian based, employee owned, self-clearing, full service investment dealer. Leede is one of Canada’s fastest growing independent investment firms.

Reporting to the Chief Compliance Officer, you will be primarily responsible for monitoring retail account activity. You will be charged with contacting sales staff to implement corrective actions and ensuring compliance with the firm’s policies and procedures as well as industry regulations.

Specifically you will:

  • Support the CCO with the ongoing trade review and compliance functions for retail branch accounts;
  • Respond to requests from branches on various compliance issues;
  • Act as a contact person for questions pertaining to New Accounts and the restriction of document deficient accounts;
  • Approve New Accounts;
  • Review credit reports;
  • Review Insider Trading Blotter;
  • Monitor, track US OTC trades;
  • Sign Cheques;
  • Review Monthly statements;
  • Review outgoing client correspondence, sales literature and advertising;
  • Provide investigative support as required on various compliance projects;
  • Manage and coordinate Request for Information from various regulatory bodies;
  • Conduct Trade Desk Reviews;
  • Conduct Branch Audit Reviews;
  • Process Estate related matters

To qualify for this opportunity you possess:

  • Minimum 3 years compliance experience or related branch/operations experience within the securities industry;
  • Successful completion of both the Canadian Securities Course and the Conduct and Practices Handbook programs; willingness to take additional courses such as the Branch Manager’s Course or Options Supervision;
  • Proficiency with MS Office (focusing on Word, Excel and Outlook) and Datapile;
  • Superior oral and written communication skills;
  • Well-developed and proven customer service and interpersonal skills;
  • Strong multi-tasking skills and the ability to work under pressure;
  • Excellent group dynamics and the desire to work in a team environment

If you would like to join our team, please send a resume and covering letter through "Indeed"

We thank all candidates for their interest and advise that only those under consideration will be contacted.