Hybrid Compliance Generalist presso Embark Student Corp.

We are looking for a skilled and experienced securities industry professional with controls mindset, operational and procedural engineering experience.  You enjoy establishing, maintaining, communicating and training Compliance processes and procedures and you are enthusiastic about helping families meet their goals for their children’s future.

-       Initial suitability review of new plan enrolment packages (NPEP), including deficiency management of new business for all registrants. 

-       Review all post-enrolment account changes and agreement transactions, ensuring ongoing account suitability and KYC information.

-       Act as central point for all individual and corporate licensing applications.

-       Maintain up to date registration records both within the organization and externally in the National Registration Database (NRD)

-       Attend to regulatory and corporate filings in a timely and effective manner

-       Maintain effective relationships with other Embark divisions and departments, including Sales, Training and Business Development, working together towards achieving the overall strategic objectives for the company.

-       Document and maintain adequate records of supervision performed, using the systems and tools provided by Embark, in accordance with Embark record-keeping standards and ensure such information is readily available upon request.  

-       Review and propose improvements to the various Compliance department policies and standard operating procedures in an effort to ensure they are clear, transparent and end user friendly.  

-       Team Work: Support Compliance Department peers in the execution of their mandates.  Such may include confirmation of dealing representative practices in the conduct of a customer complaint investigation/review or risk profile reporting.

-       Act collaboratively with the Front-Line Sales Force (FLSF) and Head Office (HO) registered representatives to render a compliance service that supports their development of good quality business practices, and which protects and enhances the Embark Student Corp. brand.

-       Perform ad-hoc and planned topic targeted reviewed to monitor and test Embark’s adherence to regulatory requirements.  This may include topics such as:

o   Outside Business Activities disclosures 

o   Referral Arrangement disclosures

o   Meaningful disclosures of Plan Opening acknowledgements

o   Adherence to KYC update requirements

o   Adherence to Marketing Policies, Procedures and Holding Out expectations.

o   Registrant specific reviews  

If you can answer “YES” to the following questions, you may be the person we are looking for:
·         Do you have at least 2-3 years of experience working in compliance?

·         Do you possess superior written and verbal communication skills, with a proven ability to express yourself clearly?

·         Are you well-organized and detail-oriented, with the solid record-keeping skills needed to work with our internal systems and processes?

·         Do you have strong analytical skills and an eye for detail?

·         Are you proficient with Microsoft Office 365, including Excel?

·         Do you have excellent organizational and time management skills? Do you thrive on multi-tasking in a fast-paced environment?

·         Do you desire to work in a team environment, in multiple capacities?

·         Do you possess flexible availability to meet the needs of the business?

·         Do you also possess the following skills?

o    Numerical skills

o    Planning and organisational skills

o    Ability to understand broader business issues.

o    Communication and presentation skills