Regulatory Coordinator

Aligned Capital Partners Inc. (ACPI) is a fast-growing investment dealer with a dynamic team looking to expand our business exponentially. Our corporate culture encourages teamwork, service excellence, creativity, and initiative. We are currently hiring for a full–time Regulatory Coordinator to be part of a brand-new team in Calgary, Alberta as the firm makes inroads in the West.

Position Overview

The main accountability of this role is to ensure that our Advisors are aligned with the rules and regulations as set out by the Canadian Investment Regulatory Organization (CIRO) and the Canadian Securities Administrators (CSA). We are looking for someone who can comfortably and confidently review information, following up promptly and in any way needed. The Regulatory Coordinator must successfully manage volume without sacrificing attention to detail or quality.

What You Will Do

• Reviewing and approving new account openings and Know Your Client (KYC) Updates
• Reviewing and approving sales communications
• Compliant and Investigation Administration
• Performing regulatory review, approval and monitoring of website and marketing materials
• Review and update existing protocols to comply with regulatory standards
• Liaising with Registrations, for certain regulatory updates as required
• Dealer Compliance Administration, including but not limited to, Pro Accounts, Returned Mail, AML Monitoring
• Making recommendations on regulatory matters for circulation to clients
• Coordinating with auditors within our Audit Team
• Maintaining data integrity
• Coordinating with finance regarding Client Rebates
• Complete other duties and project as assigned from time to time, including but not limited to, acting as back-up to colleagues

You Will Bring

• Good understanding of compliance policies and procedures and relevant Self Regulatory Organizations (CIRO, Exchanges) rules and regulations
• At least 2 years of work experience as a regulatory coordinator or related position, preferably with an Investment Dealer and/or Mutual Fund Dealer member firm, in a compliance role or other relevant functional area (e.g. trading, operations, sales)
• University Degree or College Diploma preferred
• Industry related academic experience – Canadian Securities Course (CSC), Branch Manager Course (BMC) OR Investment Dealer Supervisors Course (IDSC) is required
• Additionally, The Conducts & Practices Handbook Course (CPH) and other relevant CSI courses would be good to have
• Recent CIRO registration or working towards registration
• Well-developed inter-personal skills to provide a high-level of service and maintain working relationships with assigned groups and team members
• Excellent communication and time management skills
• Strong MS Office skills (Outlook, Word and Excel) and proven ability to learn new technology
• Proven ability to manage high volumes with a positive and professional attitude

What We Bring

We are committed to a positive employee experience fostered through an open and collaborative work environment. We offer you:

• Competitive compensation
• Recognition of your accomplishments
• Communication and feedback
• Investment in your training and development
• Commitment to your health and well-being

Aligned Capital Partners Inc. is an equal opportunity employer. If you require any accommodation to fully participate in our recruitment process, please call 1-800-561-4368 and ask for Human Resources.