Compliance Officer

Accounting & Finance
Hybrid - Vancouver, British Columbia, Canada
Posted on October 22, 2022

Reporting into the CCO, this is a great career opportunity for a Compliance Officer looking to grow their career and eager to work for a reputable and growing wealth management company. Qualified candidates will have excellent interpersonal and communication skills and demonstrate strong initiative.  

Who- the Company:

A diversified wealth management firm with a reputable leadership team and collaborative team environment. Excellent corporate culture with a focus on life balance for all team members.

What- the Role:

Our client is seeking a Compliance Officer with 5-7 years progressive experience. Through the application of a principle-based approach and integrating risk management with compliance functions, you will assist with the design, build, and maintenance of the supervisory process for the different business lines. You will have a thorough understanding of the various separate regulatory obligations amongst these different business lines and responsibilities will include: account activity review, corporate governance, compliance documentation, regulatory reporting, registration and licensing including insurance coverage, sales suitability reviews and researching and monitoring provincial and national legislation pertaining to all business lines. 

Who- the Candidate: 

In addition to a post-secondary degree and successful completion of the Canadian Securities course you have:

  • Branch Manager Course (IIROC) or equivalent
  • Understanding of NI31-103 obligations
  • 5-7 years supervising financial planning, insurance, and discretionary investment management activities with demonstrated knowledge of industry rules and regulations
  • Excellent knowledge of Microsoft Office
  • Demonstrated experience with software applications such as NaviPlan, Conquest, Canada Life, NRD, Dataphile, and d1g1t
  • LLQP, CFP/CLU/TEP designations a nice plus


Hybrid working conditions once the Compliance Officer is up to speed. Office based in Vancouver. 

How Much:

Competitive base salary commensurate with experience, opportunity to participate in bonus program, extended health/dental after 30 days, annual education allowance

When & How to Apply:

This search is moving extremely quickly! Swim will be presenting shortlisted candidates directly to the hiring manager for review.