Job opportunity
Compliance Administrator
Ventum Financial Corp.
Salary Range: $50,000.00 To $60,000.00 Annually
POSITION OVERVIEW
The Compliance Administrator will provide administrative and operational support to the Compliance Department, assisting with the preparation and review of account documentation, trade-related documents, reports, regulatory requests and other operational requirements.
The successful candidate will be highly organized, detail-oriented, and comfortable working with financial services systems and processes. This role will involve working with various internal reports and databases and supporting the Compliance team with the timely completion of routine operational and administrative requirements.
CORE DUTIES & RESPONSIBILITIES
Assisting with investigations/requests for information which include obtaining client statements, account documents, and trade tickets.
Reviewing UCI reports and escalating items requiring further attention.
Reviewing employee external Pro Statements and trade confirmations
Generating and preparing reports from the Dataphile database system.
Reviewing class action letters and notices and identifying items requiring follow-up.
Assisting with information gathering related to regulatory requests from various regulators.
Assisting Compliance Officers with various reporting, documentation, and administrative requirements.
REQUIRED EXPERIENCE, EDUCATION, SKILLS AND BEHAVIOURS
Some post-secondary education
Minimum 2-3 years of experience in the Financial Services Industry
Proficient in Microsoft Word & Excel
Strong organizational and administrative skills
Strong attention to detail and accuracy
Ability to work collaboratively with different departments
Maintain professionalism, integrity, and discretion when handling confidential information
Familiarity with the Dataphile Database system is an asset
Ability to meet applicable proficiency requirements, considered an asset
#J-18808-Ljbffr
Apply on source site POSITION OVERVIEW
The Compliance Administrator will provide administrative and operational support to the Compliance Department, assisting with the preparation and review of account documentation, trade-related documents, reports, regulatory requests and other operational requirements.
The successful candidate will be highly organized, detail-oriented, and comfortable working with financial services systems and processes. This role will involve working with various internal reports and databases and supporting the Compliance team with the timely completion of routine operational and administrative requirements.
CORE DUTIES & RESPONSIBILITIES
Assisting with investigations/requests for information which include obtaining client statements, account documents, and trade tickets.
Reviewing UCI reports and escalating items requiring further attention.
Reviewing employee external Pro Statements and trade confirmations
Generating and preparing reports from the Dataphile database system.
Reviewing class action letters and notices and identifying items requiring follow-up.
Assisting with information gathering related to regulatory requests from various regulators.
Assisting Compliance Officers with various reporting, documentation, and administrative requirements.
REQUIRED EXPERIENCE, EDUCATION, SKILLS AND BEHAVIOURS
Some post-secondary education
Minimum 2-3 years of experience in the Financial Services Industry
Proficient in Microsoft Word & Excel
Strong organizational and administrative skills
Strong attention to detail and accuracy
Ability to work collaboratively with different departments
Maintain professionalism, integrity, and discretion when handling confidential information
Familiarity with the Dataphile Database system is an asset
Ability to meet applicable proficiency requirements, considered an asset
#J-18808-Ljbffr