Company DescriptionLP Financial Planning Services Ltd. is a Winnipeg-based CIRO dealer that has been supporting financial advisors for over thirty years and continually strives to integrate industry-leading processes and systems. Presently servicing a select group of advisors in Ontario, Winnipeg, and Western Canada, LP Financial is taking steps to grow its footprint and service offering in the Canadian financial services distribution landscape.The Compliance Specialist, reporting directly to the Chief Compliance Officer, will play a key role on the
operations team to fulfill the multifaceted regulatory obligations of a mutual fund dealer. This position has a broad range of responsibilities that will allow the successful candidate to learn, experience and flourish in many different areas of compliance.Job DescriptionConduct ongoing compliance monitoring activities of mutual fund registrants at either a Tier 1 or 2 levelFile NRD registration applications, notices and terminationsAssist with the creation and updates of policy and procedures manualWork with the dealer’s Investment Product Committee to fulfil its KYP obligationsReview marketing materials and co-operative marketing requestsMaintain appropriate paper and electronic recordsOccasionally travel to branches to conduct reviews, interviews and/or trainingKeep abreast of changes to compliance procedures, firm policies, compliance manuals and rules,
regulations and requirements of securities regulatory authoritiesWork to continually improve product and compliance knowledge by completing industry courses,
participating in seminars, workshops and conferences, proactively reading internal publications,
industry news and media releases, and sharing information and ideas with team members.Travel to various offices to perform reviewsOther miscellaneous duties and special projects as assignedQualificationsEducation & ExperiencePost secondary degree or diploma in business or finance5+ years’ experience in the securities industry and regulatory environment (preferred)Industry courses (IFIC/CSC, Branch Managers’ Course, and/or Partners, Directors and Senior
Officers) or willing to complete within a short time frameTechnical Knowledge Diligent with strong time management and organization skillsSharp attention to detailCompelling verbal and written communication skillsAdvanced working knowledge of MS Office (Excel, PowerPoint, SharePoint and Word)Skills & AbilitiesStrong attention to detail.Strong verbal and written communication skills.Strong time management and organization skills.Strong listening skills & the ability to follow through.Must have exceptional problem-solving skills.Excellent customer-focused attitude with the ability to build collaborative working relationships and commitment to providing extraordinary service to high-net-worth clients.Advanced organizational skills, adept at managing and prioritizing multiple tasks with competing deadlines.An ability to adapt quickly to changing needs and work requirements.Additional InformationComprehensive health, dental and vision benefitsHealth & Wellness Spending Account4% Matching RRSP allocationGreat workplace culture!
