Support Private Capital compliance through regulatory expertise, detailed reviews, and information management in a hybrid office and remote work model.
Reporting to the Compliance Manager, you will support the overall compliance function as a primary resource for Wealth Advisors, Associates, and Regulators. This content-heavy position requires understanding the business and managing high information volumes from internal and external sources. Your work spans policy documentation, regulatory reviews, client files, and compliance guidance.
Key Responsibilities:
- Provide support for compliance-related projects and regulatory inquiries
- Develop or revise policies, procedures, documentation, and guidelines
- Review regulatory filings, audits, and compliance-related reports
- Maintain registrant listings and review employee compliance matters
- Answer compliance questions and provide regulatory guidance
Requirements:
- Minimum two years of related work experience
- Experience in compliance, finance, or investment operations
- Undergraduate degree and industry-specific coursework
- Familiarity with NI 31-103, OSC, BCSC, AMF, and FINTRAC
- Practical experience with AI productivity tools
Apply analytical judgment, regulatory knowledge, and careful information management across Private Capital compliance activities.
Private Capital Compliance Specialist in Vancouver employer: PCM
At PCM Artificial Lift Solutions, we pride ourselves on being an exceptional employer that fosters a collaborative and innovative work culture in Calgary. Our commitment to employee growth is evident through ongoing training and development opportunities, ensuring that our team members thrive both personally and professionally. With a focus on meaningful contributions to the PCP sector, we offer competitive benefits and a supportive environment that values your expertise and dedication.
