Compliance Administrator (Mat Leave)
Nicola Wealth Management - Vancouver, BC

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Nicola Wealth Management is a Vancouver-based financial planning and investment management firm serving the needs of high net worth incorporated professionals and business owners. We have a passion for providing clients with sophisticated planning and portfolio management expertise, along with outstanding client service. We strive to continue being among the top performing wealth advisors and money managers in the country – and we know our people help us deliver on that objective. NWM is a growing firm with a bright future, and we look forward to working with individuals who share our passion.

At Nicola Wealth Management, we believe our most valuable asset is our people and demonstrate that in the finer details, our interactions and shared success. Our people make this an exciting and rewarding place to work bringing energy, experience and expertise. We welcome you to explore new possibilities and provide opportunities to develop. Our uniqueness fosters a creative, entrepreneurial and collegial atmosphere that attracts outstanding people.

Working at NWM:

  • Competitive Compensation Package
  • Competitive Benefit plan
  • Employee Assistance Program
  • Participation in the company profit sharing program after 6 months
  • Group RRSP contributions after 1 year
  • Close to transit, bike-commuter facilities, centrally located to shopping and restaurants
  • Support wellness by providing healthy snacks
  • Support personal development with Tuition reimbursement and study days for approved programs
  • Volunteer day to give back to our community
  • Personal leave days
  • Team building events
  • Flexible, respectful and thoughtful environment

Team and Position Overview:

Our firm has embarked on an exciting strategic plan for the future. As we continue to meet our targets, the Finance, Administration and Compliance Department accepts the challenges and opportunities provided by a growing and successful firm in a dynamic and demanding market place. Reporting to the Director-Compliance, you will play a key role in the day to day operation of the firm by providing fund administration, registration, licensing and compliance support to keep the firm and its Advisors on track. If you see yourself as part of this exciting growth opportunity and are eager to use your diverse skills we want to talk to you about joining our team.

This is a 14 month contract with the possibility to extend.

Job Responsibilities:
This role involves approximately 40% routine or repetitive tasks and 60% more challenging and dynamic tasks.


  • Generate, format and file weekly and annual regulatory reporting and fee payments to the BCSC, OSC and other securities commissions in a timely manner (exempt distribution reporting)
  • Report various fund statistics necessary for Letter of Indemnity (LOI) tracking, tracking of quarterly purchase amounts, etc.
  • Identify clients for whom we have not received subscription agreements and follow up with NWM Advisors and their teams to obtain them
  • Provide account agreements and subscription agreements for certain clients during audits of the NWM Funds


  • Coordinate firm and NWM life insurance agent licensing for new application and annual renewals
  • Coordinate insurance agent E&O insurance including completing new applications and renewals
  • Provide information on the program & application process and coordinate annual renewal for industry memberships/designations such as CIM, CFP, CALU, Advocis/CLU
  • Registration with provincial securities commissions: assist with first-time individual applications, firm applications for additional jurisdictions/categories, submit updates through NRD, assist with collecting Outside Business Activities (OBA) information, coordinate annual registration information confirmation
  • Coordinate paying annual registration and participation fees to provincial securities commissions
  • Coordinate corporate E&O insurance, FIB, and corporate registry including annual renewals


  • Enter client document data into NWM programs and systems
  • Generate client transaction reports to prepare daily trade reviews
  • Review and monitor client documentation to ensure compliance requirements are met and that documentation is up-to-date
  • Critically review compliance related processes and recommend changes
  • Assist with annual compliance training and audits as needed
  • Ad hoc project work

Qualifications and Experience:

Education & Experience

  • Undergraduate degree or Community College program in finance, accounting, a related field or combined education and experience
  • Experience is required in one or more of the following areas: insurance, licensing, registrations, compliance, fund administration, legal, or regulatory
  • 3+ years relevant work experience in the financial services industry, preferably with a wealth management firm
  • Financial industry education is an asset
  • Direct experience with compliance functions and familiarity with securities law is an asset
  • Must be legally eligible to work in Canada for any employer

Soft Skills:

  • Fluent in English, both written and spoken
  • Pay close attention to detail and accuracy
  • Excellent interpersonal relations
  • High degree of professionalism and discernment
  • Ability to work autonomously and collaboratively in an entrepreneurial environment
  • Performance and service oriented
  • Ability to adapt comfortably in a continually changing environment and willing to accept changing responsibilities and opportunities

Interacts effectively with all Teams

To Apply:
Application closing date is January 7, 2013.

Include your cover letter and resume in your application with "Compliance Analyst" in the subject line of your email

Thank you for your interest in this position. Only candidates considered for an interview will be contacted.

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