Compliance Officer
Pinnacle Wealth Brokers - Calgary, AB

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Overview:

Pinnacle Wealth Brokers Inc. a fast growing Exempt Market Dealer is looking to fill a new role for a Compliance Officer in its Calgary Office. The successful candidate will possess an enterprise wide risk management experience with experience in a compliance or trading team environment. Branch manager experience would be considered an asset in the role. The successful candidate would assist our current National Compliance manager and work closely with the CCO in managing the compliance framework.

Responsibilities would include and are not limited to:

Maintenance of monthly compliance reporting on regulatory filings
National Registration database reporting
Assist CCO in daily monitoring of terrorist lists and reporting Assist in conducting monthly telephone or onsite branch reviews
Assist in compliance training and onboarding programs Provide coverage for assistants in various roles
Assist CCO in updates to Policy & Procedure program
Attend weekly compliance and operation meeting
Assist National compliance manager in first tier trading review

Qualifications:

Previous experience with an MFDA or an Exempt Market dealer Advanced Microsoft Office excel skills
Ability to multi task Organizational skills
Interpersonal and motivational skills
One of the following courses: EMD, mutual fund, Branch Manager or equivalent


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