Regulatory Coordinator
Top Benefits
About the role
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 for a full–time Regulatory Coordinator to join our team in Burlington . We are looking for an individual who takes pride in being professional and demonstrates fantastic client service.
Job Overview
The main accountability of this role is to ensure that our Advisors are aligned with the rules and regulations as set out by the Canadian Industry Regulatory Organization (CIRO) and the Canadian Securities Regulators. We are looking for someone who can comfortably and confidently review information, following up promptly and in any way needed. The Regulatory Coordinator must successfully manage volume without sacrificing attention to detail or quality.
What You Will Do
- Review and approve initial account opening and Know Your Client (KYC) Updates
- Review and approve sales communications
- Perform regulatory review and approval of website and marketing materials
- Determine items for escalation to the Compliance team
- Recommend on regulatory matters for circulation to clients
- Coordinate with auditors within our Compliance group
What You Will Bring
- University Degree or College Diploma preferred
- Recent CIRO registration, or recently working towards registration
- Financial services/investment dealer experience and strong knowledge of investment industry
- Demonstrated ability to provide fantastic client service
- Excellent communication and time management skills
- Strong MS Office skills (Outlook, Word and Excel) and proven ability to learn new technology
- Proven ability to manage high volumes with a positive and professional attitude
What We Bring
We are committed to a positive employee experience fostered through an open and collaborative work environment. We offer you:
- Competitive compensation
- Recognition of your accomplishments
- Communication and feedback
- Investment in your training and development
- Commitment to your health and well-being
Aligned Capital Partners Inc. is an equal opportunity employer. Please contact us at (905) 639-5115 if you require any accommodation in order to fully participate in our recruitment process.
About Aligned Capital Partners Inc.
Aligned Capital Partners Inc., a pioneer in the investment dealer community in Canada, has been providing independent investment advice to retail investors since 1987. In 2012, faced with a challenging environment for independent investment dealers, a strategic renewal was undertaken by the new management team. Collectively, they wanted to accelerate change and introduce a more innovative approach to deliver wealth management services to clients. The objective was to diverge from the norm and create a suite of services that focused on the needs and interests of the client, the Advisor, and the wealth management firm.
At ACPI, we believe in the entrepreneurial spirit and independence of an Advisor’s practice, coupled with an unconflicted dealer platform with no sales targets, no proprietary products, and no commission grid. Our mission is to equip Advisors with everything they need to provide customized financial solutions for their clients.
Since inception, we have operated with the intention of creating a firm that Canada’s best independent financial Advisors would find welcoming and call home. ACPI is committed to partnering with Advisors who wear the “white hats” and run their businesses in a way that always puts the client first.
As a firm, ACPI serves on a range of industry and regulatory committees to help shape the industry and advocate how we believe investors should be treated. Our view of the wealth management industry is straightforward and our currency is the trust placed in us. We earn this currency by providing the infrastructure and solutions Advisors need to do right by their clients.
Regulatory Coordinator
Top Benefits
About the role
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 for a full–time Regulatory Coordinator to join our team in Burlington . We are looking for an individual who takes pride in being professional and demonstrates fantastic client service.
Job Overview
The main accountability of this role is to ensure that our Advisors are aligned with the rules and regulations as set out by the Canadian Industry Regulatory Organization (CIRO) and the Canadian Securities Regulators. We are looking for someone who can comfortably and confidently review information, following up promptly and in any way needed. The Regulatory Coordinator must successfully manage volume without sacrificing attention to detail or quality.
What You Will Do
- Review and approve initial account opening and Know Your Client (KYC) Updates
- Review and approve sales communications
- Perform regulatory review and approval of website and marketing materials
- Determine items for escalation to the Compliance team
- Recommend on regulatory matters for circulation to clients
- Coordinate with auditors within our Compliance group
What You Will Bring
- University Degree or College Diploma preferred
- Recent CIRO registration, or recently working towards registration
- Financial services/investment dealer experience and strong knowledge of investment industry
- Demonstrated ability to provide fantastic client service
- Excellent communication and time management skills
- Strong MS Office skills (Outlook, Word and Excel) and proven ability to learn new technology
- Proven ability to manage high volumes with a positive and professional attitude
What We Bring
We are committed to a positive employee experience fostered through an open and collaborative work environment. We offer you:
- Competitive compensation
- Recognition of your accomplishments
- Communication and feedback
- Investment in your training and development
- Commitment to your health and well-being
Aligned Capital Partners Inc. is an equal opportunity employer. Please contact us at (905) 639-5115 if you require any accommodation in order to fully participate in our recruitment process.
About Aligned Capital Partners Inc.
Aligned Capital Partners Inc., a pioneer in the investment dealer community in Canada, has been providing independent investment advice to retail investors since 1987. In 2012, faced with a challenging environment for independent investment dealers, a strategic renewal was undertaken by the new management team. Collectively, they wanted to accelerate change and introduce a more innovative approach to deliver wealth management services to clients. The objective was to diverge from the norm and create a suite of services that focused on the needs and interests of the client, the Advisor, and the wealth management firm.
At ACPI, we believe in the entrepreneurial spirit and independence of an Advisor’s practice, coupled with an unconflicted dealer platform with no sales targets, no proprietary products, and no commission grid. Our mission is to equip Advisors with everything they need to provide customized financial solutions for their clients.
Since inception, we have operated with the intention of creating a firm that Canada’s best independent financial Advisors would find welcoming and call home. ACPI is committed to partnering with Advisors who wear the “white hats” and run their businesses in a way that always puts the client first.
As a firm, ACPI serves on a range of industry and regulatory committees to help shape the industry and advocate how we believe investors should be treated. Our view of the wealth management industry is straightforward and our currency is the trust placed in us. We earn this currency by providing the infrastructure and solutions Advisors need to do right by their clients.