Who we are: Harbourfront Wealth Management Inc. is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing employee-owned firm and CIRO registered securities dealer. The firm provides financial services and holistic wealth management solutions for mid to high-net-worth individuals. At Harbourfront Wealth Management Inc., our core values start with the belief that great people make great companies. Our head office is in downtown Vancouver with over 20 branches across Canada.
Career opportunity: We currently have a career opportunity for a Senior Compliance Officer reporting to the Director of Compliance Supervision & Program Development. This role will be based out of either our head office in Vancouver, BC, or at our satellite head offices in Burlington, ON, Winnipeg, MB or other locations where Harbourfront Wealth has an existing branch . The Senior Compliance Officer role contributes to the overall supervision activities of the compliance department and promotes a culture of compliance throughout the firm. We are looking for a highly motivated candidate who can build solid relationships, has a passion for providing high quality customer service and is eager to expand their career in compliance and supervision.
You will be responsible for: Supervise and train newly registered staff with respect to regulatory requirements; Supervise managed accounts; New account approvals and account updates; Tier 1 supervision activities of both non-managed and managed accounts; Conducting daily and monthly trading review; Conducting quarterly reviews of managed accounts; Reviewing, approving and supervising outside activities; Oversight of registrants within the 30 and 90 day training program; Conducting close supervision of new registrants; Participating in internal branch audits as well as external regulatory audits; Supporting all staff, including Investment Advisors and Portfolio Manager with compliance inquiries; Providing ongoing compliance education and training for branch personnel; and Special projects as assigned.
The ideal candidate for this position has: 5+ years experience in a compliance department with at least 3 years as a Tier 1 Supervisor for a CIRO Dealer Member (previously IIROC Dealer Member); Post secondary education; Must qualify to be immediately registered as a designated supervisor of managed accounts with CIRO; Will be required to continue to meet IIROC continuing education requirements; In-depth knowledge of the financial services industry including understanding of regulatory requirements of CIRO and the CSA; Strong communication skills and must be able to effectively communicate with different levels of staff including advisors and senior leadership; Must be an effective listener and have a collaborative team-work approach with the ability to prioritize, performing multiple tasks meeting deadlines; Strong analytical skills; and Proficiency with MS Office applications.
Definite Assets: Knowledge of National Bank office processes and tools; and Experience with Portfolio Aid 360 Software, PureFacts, DocuSign, Croesus and other compliance applications.
Salary Range: $80,000 - $110,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity).
Diversity and Inclusion Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.
Who we are: Harbourfront Wealth Management Inc. is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing employee-owned firm and CIRO registered securities dealer. The firm provides financial services and holistic wealth management solutions for mid to high-net-worth individuals. At Harbourfront Wealth Management Inc., our core values start with the belief that great people make great companies. Our head office is in downtown Vancouver with over 20 branches across Canada.
Career opportunity: We currently have a career opportunity for a Senior Compliance Officer reporting to the Director of Compliance Supervision & Program Development. This role will be based out of either our head office in Vancouver, BC, or at our satellite head offices in Burlington, ON, Winnipeg, MB or other locations where Harbourfront Wealth has an existing branch . The Senior Compliance Officer role contributes to the overall supervision activities of the compliance department and promotes a culture of compliance throughout the firm. We are looking for a highly motivated candidate who can build solid relationships, has a passion for providing high quality customer service and is eager to expand their career in compliance and supervision.
You will be responsible for: Supervise and train newly registered staff with respect to regulatory requirements; Supervise managed accounts; New account approvals and account updates; Tier 1 supervision activities of both non-managed and managed accounts; Conducting daily and monthly trading review; Conducting quarterly reviews of managed accounts; Reviewing, approving and supervising outside activities; Oversight of registrants within the 30 and 90 day training program; Conducting close supervision of new registrants; Participating in internal branch audits as well as external regulatory audits; Supporting all staff, including Investment Advisors and Portfolio Manager with compliance inquiries; Providing ongoing compliance education and training for branch personnel; and Special projects as assigned.
The ideal candidate for this position has: 5+ years experience in a compliance department with at least 3 years as a Tier 1 Supervisor for a CIRO Dealer Member (previously IIROC Dealer Member); Post secondary education; Must qualify to be immediately registered as a designated supervisor of managed accounts with CIRO; Will be required to continue to meet IIROC continuing education requirements; In-depth knowledge of the financial services industry including understanding of regulatory requirements of CIRO and the CSA; Strong communication skills and must be able to effectively communicate with different levels of staff including advisors and senior leadership; Must be an effective listener and have a collaborative team-work approach with the ability to prioritize, performing multiple tasks meeting deadlines; Strong analytical skills; and Proficiency with MS Office applications.
Definite Assets: Knowledge of National Bank office processes and tools; and Experience with Portfolio Aid 360 Software, PureFacts, DocuSign, Croesus and other compliance applications.
Salary Range: $80,000 - $110,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity).
Diversity and Inclusion Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.
Who we are: Harbourfront Wealth Management Inc. is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing CIRO registered securities dealer. The firm provides financial services and holistic wealth management solutions for mid to high-net-worth individuals. At Harbourfront Wealth Management, our core values start with the belief that great people make great companies. Our head office is in downtown Vancouver with over 28 branches across Canada.
Career opportunity: We currently have a career opportunity for a Financial Planning Associate based out of Kelowna, BC. Harbourfront has had exponential growth the last several years and this is a very exciting opportunity to join a fast-growing firm. This role requires an individual who is ambitious, professional, detail-oriented, independent, organized, and effective at multi-tasking, with strong communication and people skills. Candidates must be versatile and capable of performing a variety of tasks to get the job done in a fast-paced environment where attention to detail is of the upmost importance.
Depending on experience and knowledge, the core responsibilities of the role will be, but not limited to: You will Create and Manage Personal Financial Plans for clients using the NaviPlan software; Foster and support client relationships by liaising with clients, responding to requests and proactive problem solving; Prepare monthly/quarterly/annual reports, client correspondence and taking ownership of project work; Handle incoming and outgoing phone calls with clients and respond to requests for information; Carry out other duties as assigned.
The ideal candidate for this position has: Minimum of 3-years investment industry experience; Must have above average skills on financial planning software; Insurance License would be considered an asset; Completion of the Canadian Securities Course and the Conduct and Practices Handbook is an asset; Must hold a Certified Financial Planner (CFP) or similar designation; Excellent proficiency with Microsoft Office particularly Word, Excel, PowerPoint & Outlook; Excellent verbal and written communication skills; Ability to learn quickly and identify opportunities to add value; Strong organizational skills; Meticulous attention to detail; Superior customer service skills; Ability to prioritize, multitask, work within time constraints and follow-up; Ability to work in a team environment and demonstrate a professional and friendly manner.
Salary Range: $85,000 - $95,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity).
Diversity and Inclusion Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.
Who we are: Harbourfront Wealth Management Inc. is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing CIRO registered securities dealer. The firm provides financial services and holistic wealth management solutions for mid to high-net-worth individuals. At Harbourfront Wealth Management, our core values start with the belief that great people make great companies. Our head office is in downtown Vancouver with over 28 branches across Canada.
Career opportunity: We currently have a career opportunity for a Financial Planning Associate based out of Kelowna, BC. Harbourfront has had exponential growth the last several years and this is a very exciting opportunity to join a fast-growing firm. This role requires an individual who is ambitious, professional, detail-oriented, independent, organized, and effective at multi-tasking, with strong communication and people skills. Candidates must be versatile and capable of performing a variety of tasks to get the job done in a fast-paced environment where attention to detail is of the upmost importance.
Depending on experience and knowledge, the core responsibilities of the role will be, but not limited to: You will Create and Manage Personal Financial Plans for clients using the NaviPlan software; Foster and support client relationships by liaising with clients, responding to requests and proactive problem solving; Prepare monthly/quarterly/annual reports, client correspondence and taking ownership of project work; Handle incoming and outgoing phone calls with clients and respond to requests for information; Carry out other duties as assigned.
The ideal candidate for this position has: Minimum of 3-years investment industry experience; Must have above average skills on financial planning software; Insurance License would be considered an asset; Completion of the Canadian Securities Course and the Conduct and Practices Handbook is an asset; Must hold a Certified Financial Planner (CFP) or similar designation; Excellent proficiency with Microsoft Office particularly Word, Excel, PowerPoint & Outlook; Excellent verbal and written communication skills; Ability to learn quickly and identify opportunities to add value; Strong organizational skills; Meticulous attention to detail; Superior customer service skills; Ability to prioritize, multitask, work within time constraints and follow-up; Ability to work in a team environment and demonstrate a professional and friendly manner.
Salary Range: $85,000 - $95,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity).
Diversity and Inclusion Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.
