Compliance Associate

at  Leede Financial Inc

Leede Financial is one of Canada’s leading independent investment dealers, providing a full range of investment products and services to clients across the country. Our diverse group of experienced and knowledgeable investment advisors and portfolio managers offers timely, objective financial advice, helping clients achieve their long-term financial goals.
We are seeking a motivated and detail-oriented Compliance Associate to join our Compliance team in Calgary, AB. The ideal candidate will play a key role in ensuring the firm’s adherence to regulatory standards, maintaining accurate records, and supporting key compliance processes.

SKILLS, EXPERIENCE & QUALIFICATIONS:

• Minimum 3 years of compliance experience or related branch/operations experience within the securities industry.
• Successful completion of both the Canadian Securities Course and the Conduct and Practices Handbook programs; willingness to take additional supervisory courses.
• Proficiency with MS Office, Dataphile, Additional competencies in Python and Java would be an asset.
• Superior oral and written communication skills.
• Well-developed and proven customer service and interpersonal skills.
• Strong multi-tasking skills and the ability to work under pressure.
• Excellent group dynamics and the desire to work in a team environment.
• University degree or equivalent experience.

• Conduct daily, weekly, monthly and quarterly compliance tasks in accordance with internal procedures and regulatory requirements.
• Work closely with other compliance staff and assist with inquiries related to regulatory reporting, AML monitoring, etc.
• Review employee external statements.
• Assist with the registration process for investment advisors, including onboarding, updates, terminations.
• Maintain up-to-date records of advisor licenses and registrations.
• Assist in the development and delivery of compliance training programs for employees.
• Respond to requests from advisors and staff on compliance-related issues.
• Provide support as required on various compliance projects.