- Professional
- Ufficio in Vancouver
About Nicola Wealth:
We have a lot to be proud of at Nicola Wealth. Our sophisticated financial planning, our diversified private investment funds and their exceptional performance, our 99% client retention rate and our award-winning culture, combine to position us as a national leader in wealth management. Recognized as a Best Managed Company and one of Canada’s Top Employers, we are dedicated to upholding our firm’s values through this phase of significant growth.
By bringing together smart, dedicated and supportive colleagues from diverse backgrounds, we deliver extraordinary client service in a values-driven work environment. The collaboration, creativity and entrepreneurial spirit we were founded on provides the opportunity for you to make a real impact and build a rewarding career. We are passionate about our business, our culture and investing deeply in your growth and development to build for the future. If you have this same drive, then let’s talk!
Purpose of the Role:
Reporting to the Chief Compliance Officer, the Compliance Manager plays a key role in supporting the firm’s compliance and risk management functions ensuring the organization’s policies and practices align with applicable regulatory requirements. The Compliance Manager will contribute to maintaining a strong culture of compliance and lead registration and licensing processes for all lines of business at Nicola Wealth.
Core Responsibilities:
- Support the implementation and maintenance of the firm’s compliance program, ensuring alignment with relevant legislation and internal policies.
- Monitor regulatory developments and make recommendations for updating compliance policies and procedures to reflect changes in legislation and best practices.
- Contribute to the development and delivery of compliance training materials for employees across the organization.
- Participate in internal assessments to identify compliance gaps, recommend improvements to strengthen controls and enhance operational efficiency.
- Execute day-to-day compliance activities including regulatory reporting, process documentation, and support for regulatory audits by the BCSC, OSC, and FINTRAC etc.
- Lead the firm’s registration and licensing processes, including:
- Assist with onboarding and offboarding of registered individuals, including NRD filings and proficiency tracking.
- Process registration forms, annual renewals and related materials with respect to licensing, material changes, and terminations.
- Assess registerability of existing and new staff; make decisions that evaluate individuals’ experience in relation to PM registration categories.
- Respond to registration related inquiries and requests from the regulators and from within Nicola Wealth and conduct relevant research as required to provide resolutions for any outstanding registration issues and deficiencies.
- Liaise with Nicola Wealth personnel, provincial regulators, insurance councils, and E&O providers on registration related matters, to obtain information and materials related to registrations and E&O and to ensure compliance with regulatory requirements.
- Maintain current databases with applicable registration, licensing and related information.
- Provide assistance and feedback to the Compliance Solutions team with the delivery of registration/licensing/E&O policies and procedures and with forms and document templates which affect Nicola Wealth registrations and licensing.
- Provide information on application process and monitor individual annual renewal for industry memberships/designations (CIM, CFP, CLU).
- Coordinate paying annual registration and participation fees to provincial securities commissions.
Required Skills & Qualifications:
- Minimum 5–7 years of experience in compliance or risk management roles within a registered Portfolio Manager, EMD, or IIROC firm or in investment/banking/mutual fund/insurance dealer and/or securities/insurance regulator.
- Undergraduate degree in a related field; industry certifications such as CIM, CFA are assets.
- Knowledge of BCSC, OSC, SEC, Canadian and US legislation and regulation an asset.
- Proficient with MS Office (Office, Excel, Outlook).
- Experience with compliance policy writing.
- Audit, risk management and privacy law knowledge.
Compensation & Benefits Package:
This position comes with a base salary range of $90,000 - $110,000 plus a competitive performance bonus, RRSP contribution and participation in our profit-sharing program. Base salary will be commensurate with experience, skills, and qualifications.
At Nicola Wealth, our people grow our business, delight our clients, and live our values every day. Our comprehensive compensation and benefits package reflects our appreciation for this commitment. Whether it’s participating in our profit sharing and benefit programs on day one, or the opportunity to participate in our share ownership program, our people are able to go beyond a conventional salary and bonus structure. To learn more about our complete package, visit: www.nicolawealth.com/total-rewards.
Please include both a cover letter and resume in support of your application. We are an inclusive, equal opportunity employer. For more information about this and other roles: www.nicolawealth.com/careers.
It is our priority to remove barriers to provide equal access to employment. Should you require reasonable accommodation during the recruitment process please contact us at [email protected] and we will work with you to meet your needs. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Nicola Wealth policies.
Thank you for your interest in a career with Nicola Wealth!
