Compliance Administrator

AppleOne

  • Vancouver, BC
  • Permanent
  • Full-time
  • 24 days ago
  • Apply easily
DescriptionThis full-time, permanent, position is best suited to someone with experience in the compliance area of financial services. Exceptional organization and prioritization skills and a strong focus on accurate task completion are required for this role. Ideal candidates will possess solid verbal/written communication and interpersonal skills, the ability to learn quickly and easily, as well as the enthusiasm to fully participate as a member of a team while contributing to a positive work environment.Key Responsibilities
Supervision Reporting and Administration
  • Provide administrative support for supervision reporting preparation,
  • Compliance Support and Reporting
  • Provide administrative support to the Compliance Officer
  • Generate compliance reports and administer follow-ups
  • Review correspondence to ensure compliance baselines are met
  • Perform daily trade and account supervision, including trading blotter review
  • Coordinate and track various internal supervision requirements
  • Manage new applications and renewals for insurance licensing
  • Compile documentation regarding compliance issues
  • Licensing and Internal Policies
  • Coordinate compliance training sessions and maintain training records
  • Prepare documentation for internal audits and regulatory reviews
  • Stay informed of regulatory updates and communicate relevant changes to staff
Administrative and Support Tasks
  • Part of the reception vacation/absence coverage team
  • Manage scheduling, calendar, and follow-ups
  • Perform other administrative tasks and projects as required
Job Requirements
  • Post-secondary education in Business Administration or equivalent experience
  • Minimum 2 years financial industry experience
  • Excellent organizational and communication skills
  • High level of attention to detail and excellent follow ups

AppleOne