Senior Compliance Officer, AML

• Help to implement and manage the AML/ATF Program, including firm wide AML training
• Conduct risk assessment to identify areas of vulnerability
• Monitoring and investigation of transaction, KYC and client due diligence
• Co-ordinate biannual controls effectiveness
• Filing suspicious transaction reports or other transaction reports to FINTRAC as necessary

• Conduct client due diligence and assign risk scores for KYC
• Conduct names screening at KYC and ongoing for CDD
• Transaction monitoring daily, monthly and quarterly per risk scores
• Monitor clients assigned enhanced due diligence
• Monitor ATF/PEP/Country watch lists for client due diligence and remediation if necessary
• Prepare and submit UTR, STR or other reporting as required
• Conduct annual risk assessment and report results to Compliance Committee
• Ensure Controls Effectiveness Testing on conducted on a bi-annual basis
• Escalate concerns to CAMLO, Senior Management and to Advisors
• Prepare regular AML reports on findings of supervision activities
• Administer the AML/ATF Policies and Procedures to ensure compliance with Proceeds of Crime (Money Laundering) and Terrorist Financing Act
• Ensure proper recordkeeping and audit trails of investigations, remediation and final outcomes
• Administer the AML Training program
• Other financial crimes tasks as assigned

• University degree in a related field of finance or economics
• CAMS certification
• Relevant CSI courses or able to satisfy the new Proficiency Requirement for Supervision under CIRO Rule 2600 an asset

• Minimum 3-5 years of relevant securities industry and professional experience within a financial institution
• Familiar with rules and regulations of PCMLTFA, FINTRAC, CIRO and other AML related regulations or rules
• Knowledge of securities industry’s regulatory compliance practices, procedures and principles applicable to Securities legislation and regulation
• Understanding of the operations, organization and infrastructure of a financial institution

• Have an understanding of securities and regulatory and industry knowledge
• Advanced skills in Microsoft Office
• Maintain standards of skill, care and diligence in professional activities
• Familiarity with the Position Watch database system is an asset
• An ability to handle a multitude of tasks simultaneously and to thrive, with grace and humour, under pressure
• Familiarity with the Dataphile Database system is an asset

• Client facing team
• Support team
• Operations
• Senior Management

• FINTRAC
• CIRO
• Industry and peer groups
• Legal Counsel

Ventum Financial