Active Role : March 2024

Location : Calgary, Alberta, Canada

Job Type: Full-time, Permanent

Salary: $68,000.00-$75,000.00 per year

​

Pinnacle Wealth Brokers Inc. (Pinnacle Wealth) is searching for a Senior Compliance Officer, serving as a manager and a member of the compliance team; involved in verifying and reviewing trades including Mutual Fund transactions, trades under the offering memorandum exemption and the accredited investor exemption.

 

Company Overview

 

Pinnacle Wealth, situated in Calgary, Alberta, is a rapidly expanding financial services firm. Registered as an exempt market dealer, portfolio manager, mutual fund dealer, and investment fund manager in specific Canadian jurisdictions, Pinnacle Wealth offers private investment opportunities to eligible Canadian investors and institutions facilitated through a network of registered dealing representatives. The firm provides avenues for public market access via specialized portfolio management options, specialized corporate finance, and investment fund management services to both public and private organizations throughout North America.

 

Embracing an entrepreneurial mindset, Pinnacle Wealth has established itself as one of the largest and most rapidly growing Exempt Market Dealers in Canada. Recognized as an industry leader, the firm is acclaimed for its innovative approaches in raising capital within private markets, contributing to the expansion of both domestic and international economies.

 

Core Accountabilities

 

• Reviewing new account applications and opening documents;

• On a daily basis, reviewing trades made by Pinnacle’s dealing representatives (Pinnacle DRs);

• Leading with the onboarding and training of new and existing Pinnacle DRs within your Division or as requested;

• Lead weekly compliance meetings;

• Coaching and mentoring Pinnacle DRs in meeting their securities regulatory compliance responsibilities;

• Maintaining necessary books and records and controls in order to ensure efficient and effective supervision of Pinnacle DRs;

• Directing on behalf of the CCO Pinnacle’s compliance team in completing the team priorities/projects as assigned from time to time in addition to any trade review responsibilities;

• Assisting the CCO with the development, maintenance, and implementation of securities regulatory compliance policies ; and

• Monitor and stay abreast of legislative changes and operational risk and privacy best practices related to the investment field.

 

Qualifications and Soft Skills

​​​

• Mutual Fund or Investment Dealer Course(s) (required)

• Fluent in English

• Fluent in French – preferred

• Minimum 5 years Compliance Experience in the Mutual Fund, Investment Dealer or Exempt Market space.

• Self-motivated, flexible, and adaptable as this is a highly fluid and fast-paced work environment.

• Strong analytical and strategic thinking skills; a detail-oriented individual.

• Proficient knowledge of MS Office including Word, PowerPoint, Excel & Outlook

• Technical aptitude which provides the ability to quickly pick up new software.

• Well organized with the ability to work with a high level of independence.

• Excellent verbal and written communication and interpersonal abilities.

• Proven customer service experience. 

• Proficiency with any CRM is a plus.

​

Benefits

​

• Casual dress

• Company events

• Dental care

• Disability insurance

• Extended health care

• Life insurance

• On-site parking

• Paid time off

• Vision care

​

Schedule

​

• 8 hour shift

• Monday to Friday

• Hybrid Office/Home

​

Supplemental pay types

​

• Bonus pay

​

We thank all candidates for their interest. However, only those selected for an interview will be contacted.