Compliance Associate

Who we are:

Harbourfront Wealth is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing wealth management firm with over $22 billion in assets under administration, comprised of five integrated entities: CIRO dealer, investment counsel, asset manager, U.S. Registered Investment Advisor (RIA) and insurance company. At Harbourfront Wealth, our core values start with the belief that great people make great companies.

Career opportunity:

We currently have a career opportunity for a Compliance Associate reporting to the Team Lead, Tier 2 Compliance Supervision. This role will be based on a remote or hybrid schedule 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 Compliance Associate role contributes to the overall supervision activities and support 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.

Key Responsibilities:

• Conduct ongoing reviews of Tier 2 reports, client accounts, and transactions to ensure compliance with regulations and firm policies;
• Identify, document, and escalate potential compliance issues in accordance with internal procedures;
• Assist with regulatory filings, examinations, audits, and inquiries;
• Support the maintenance, review, and updating of compliance policies, procedures, and disclosures;
• Conduct and support fund compliance reviews;
• Respond to compliance-related inquiries from advisors and internal business partners;
• Support and assist Compliance supervisory tools, such as PortfolioAid;
• Assist with compliance training initiatives, certifications, and employee attestations;
• Assist with the review of referral agreements, and third-party relationships for regulatory compliance;
• Collaborate with Legal, Operations, and other internal teams on compliance matters;
• Contribute to continuous improvement of compliance processes, controls, and documentation, including maintaining and testing of compliance systems and records; and
• Participate in various additional compliance-related projects and initiatives as assigned.

The ideal candidate for this position has:

• 1–3 years of experience in compliance, risk, audit, or a related role within financial services;
• Basic understanding of wealth management products and services;
• Proficiency in Microsoft Office Suite, with strong emphasis on Microsoft Excel for data; analysis, including formulas, pivot tables, and basic reporting;
• Strong attention to detail, analytical skills, and ability to manage multiple priorities;
• Strong communication skills, both written and verbal;
• Preferred exposure to compliance monitoring tools or surveillance systems, including PortfolioAid, Croesus, Sales Force, Global Relay and NBIN systems;
• Preferred experience with fund compliance.

Salary Range: $55,000 - $65,000 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.