PCMA member-firm Liahona Capital is looking for candidates to fill their
vacancies for multiple positions. Check out the job postings below to find out
Chief Compliance Officer
Liahona Capital is looking for someone to assume the role as a Chief Compliance Officer. The job entails overseeing and assuring the successful execution of all operational compliance tasks. The successful candidate will report to the CEO/UDP.
Here are the key responsibilities of the role:
- Organize the compliance calendar and ensure all compliance tasks are completed on a timely basis
- Provide guidance to staff on matters related to client documentation, purchase agreements and suitability
- Ensure the effective review and approval of all investor transactions
- Oversee the development and approval of all marketing documents and investor communications
- Assist the CEO on due diligence review and approval of third-party funds
- Serve as the point of contact on compliance-related queries from clients
- Ensure the firm is in compliance with its record keeping protocol
- Liaise with the firm’s external compliance consultant or securities lawyer, as appropriate, on individual and corporate registration matters
- Ownership in the implementation of new regulatory requirements and general compliance related queries.
- Organize, track and assist with the completion of special projects including the implementation of new regulations
- Recommend changes to internal processes for greater efficiency and/or effectiveness
These are the position requirements:
- 5+ years’ experience working in a compliance role with a Canadian Exempt Market Dealer· Product Issuer or demonstrated equivalent experience
- Highly organized, capable of balancing multiple tasks and deadlines; able to wade through ambiguity and bring clarity to all aspects of operations
- Ability to work independently, while performing effectively in a team oriented environment
- Initiative, self-starter– driven professional
- Proven attention to detail
- Ability to navigate complex documents, carry out due diligence, analysis and recommendations
Liahona Capital is also looking for qualified professionals to complement its successful financial services team. The successful candidate will join the firm as a dealing representative, working closely with qualified, high net-worth investors and institutions.
Interested applicants are requested to review the firms’ current investment offerings via www.liahona.ca.
For both positions, candidates are invited to submitted their current resumes, educational and professional experience, and other relevant application documents to email@example.com.