Compliance Administrator

POSITION OVERVIEW

The Compliance Administrator will provide administrative and operational support to the Compliance Department, assisting with the preparation and review of account documentation, trade-related documents, reports, regulatory requests and other operational requirements.

The successful candidate will be highly organized, detail-oriented, and comfortable working with financial services systems and processes. This role will involve working with various internal reports and databases and supporting the Compliance team with the timely completion of routine operational and administrative requirements.

CORE DUTIES & RESPONSIBILITIES

• Assisting with investigations/requests for information which include obtaining client statements, account documents, and trade tickets.

• Reviewing UCI reports and escalating items requiring further attention.

• Reviewing employee external Pro Statements and trade confirmations

• Generating and preparing reports from the Dataphile database system.

• Reviewing class action letters and notices and identifying items requiring follow-up.

• Assisting with information gathering related to regulatory requests from various regulators.

• Assisting Compliance Officers with various reporting, documentation, and administrative requirements.

REQUIRED EXPERIENCE, EDUCATION, SKILLS AND BEHAVIOURS

• Some post-secondary education

• Minimum 2 – 3 years of experience in the Financial Services Industry

• Proficient in Microsoft Word & Excel

• Strong organizational and administrative skills

• Strong attention to detail and accuracy

• Ability to work collaboratively with different departments

• Maintain professionalism, integrity, and discretion when handling confidential information

• Familiarity with the Dataphile Database system is an asset

• Ability to meet applicable proficiency requirements, considered an asset