Regulatory Supervisor

at  Aligned Capital Partners Inc

Aligned Capital Partners Inc. (ACPI) is a fast-growing investment Dealer with a dynamic team looking to expand our business exponentially. Our corporate culture encourages teamwork, service excellence, creativity, and initiative. We are currently hiring a full–time Regulatory Supervisor to join our Client Experience Team in Calgary, Alberta as the firm makes inroads in the West. We are looking for an individual who takes pride in being professional and demonstrates fantastic client service.
Position Overview
In this role, the successful candidate will provide Tier 1 supervision for an assigned region of Advisors to ensure that their business practices are in compliance with applicable securities regulatory requirements as well as ACPI supervisory and compliance policies/procedures. Our Business Integrity compliance team takes great pride in our in-depth understanding of the CIRO regulatory environment, taking a collaborative and coaching approach to provide this expertise to Advisors.

• Overall supervisory responsibility for 50-60 Investment Advisors and Portfolio Managers across Alberta and BC
• Assist in the review and approval of offering memorandum /alternative private product purchases in accordance with applicable accreditation and eligibility regulations and ACPI Policies
• Work collaboratively with ACPI’s Client Experience team to provide guidance on ACPI compliance policies to individual branches under supervision
• Provide regular support to Advisors, respond to ad hoc Advisor requests with value-added information, ideas and solutions
• Complete daily/monthly trade and account reviews while maintaining evidence of and following up on any deficiencies noted
• Escalate any significant client service issues, including allegations of wrongdoing and any verbal or written complaints to ACPI Leadership
• Monitor registered individuals during the initial 90-Day Training Program, the 6-month supervision period and during any periods of ‘close supervision’ as determined by ACPI Senior Management