Pinnacle Wealth Brokers Inc. (Pinnacle) is a high-growth financial services firm located in Calgary, Alberta. Pinnacle is registered as an exempt market dealer, portfolio manager, mutual fund dealer and investment fund manager in certain jurisdictions in Canada. Pinnacle provides private investment opportunities to qualifying Canadian investors and institutions through a network of registered dealing representatives, as well as public market access opportunities through specialized portfolio management options. Pinnacle also provides corporate finance and investment fund management services to public and private organizations across North America.
With an entrepreneurial approach, Pinnacle has solidified itself as one of the largest and fastest growing Exempt Market Dealers in Canada. Pinnacle is regarded as an industry leader for innovation in the business of raising capital in the private markets, enabling the growth of both domestic and international economies.
You will be a Compliance Administrator, a member of the compliance team involved in verifying and reviewing trades made under available prospectus exemptions as well as Mutual Fund transactions. You will also assist our representatives as required in the verification of required paperwork needed for the submission of trades, as well as in other tasks related to compliance trade submission and review as directed by you manager(s).
Your responsibilities will include, but are not limited to, the following:
- Reviewing account applications;
- Reviewing trades made by Pinnacle’s dealing representatives (Pinnacle DRs) for document deficiencies;
- Assisting with the onboarding of Pinnacle DRs;
- Assisting Compliance Officers with their daily, monthly tasks;
- Participating in weekly compliance meetings;
- Assisting in maintaining necessary books, records and controls to ensure efficient and effective supervision of Pinnacle DRs;
- Assisting Pinnacle’s compliance team in completing the team priorities/projects as assigned from time;
- Updating and maintaining personal knowledge of applicable compliance and regulatory obligations required of a dealer and its dealing representatives under applicable securities law;
- Assisting with the development, maintenance, and implementation of securities regulatory compliance policies.
Education – Preference will be given to Candidates who have successful complete one or more of the following:
- Exempt Market Professionals Course, or Investment Funds Course; or Canadian Securities Course;
- Investment Dealer Supervisors Course; or Branch Compliance Officers Course;
- Post-secondary Education.
- Minimum 1 year Compliance Experience in the Mutual Fund space or Exempt Market space;
- Proficient in Microsoft Office (Word, Excel, and PowerPoint);
- Familiar with Microsoft 365 and Teams;
- Ability to learn new technologies, including Pinnacle’s back-office software administration system;
- Self-motivated, flexible, and adaptable as this is a highly fluid and fast-paced work environment;
- Strong verbal and written communication skills;
- Strong proven customer service and interpersonal skills;
- Ability to work effectively both independently and with a team environment;
- Strong organizational, multi-tasking and prioritizing skills and ability to work under pressure;
- Strong attention to detail with an analytical focus;
- Excellent problem-solving skills and the ability to exercise sound judgment.
Job Types: Full-time, Permanent
Salary: $50,000.00-$55,000.00 per year
- Casual dress
- Company events
- Dental care
- Disability insurance
- Extended health care
- Life insurance
- On-site parking
- Paid time off
- Vision care
- 8 hour shift
- Monday to Friday
Supplemental pay types:
- Do you have a valid Investment Funds Course
- AEC / DEP or Skilled Trade Certificate (required)
- Mutual Fund compliance or Exempt Market Compliance: 1 year (preferred)
- Canadian Securities Course (preferred)
- Exempt Market Professionals Course (preferred)
Work Location: Hybrid remote in Calgary, AB
Expected start date: 2023-05-22