Compliance Associate

We are currently seeking a highly dependable, polished, results-oriented professional to fill the role of Compliance Associate who will play a critical role in ensuring the appropriate flow of work and communications between the President of the company, the Executive team, Board of Directors, and our clients. Reporting directly to the Compliance Manager of Value Partners Investments, the successful candidate will be responsible for assisting the Compliance department with ongoing compliance activities of VPI, its mutual funds and its investment counseling services. This position has a broad range of responsibilities that is expected to expand as the company continues to grow.

You have a strong desire to help people, you would enjoy joining a team where our best days come from knowing we have helped our clients live their fullest life. Our job can be technical and precise, but our joy comes from supporting our exceptional client base, whom we’ve built close trusted relationships with.

Responsibilities:

• Conduct ongoing compliance activities for mutual fund operations.
• Conduct ongoing compliance activities for investment counsel operations.
• Assist with the preparation and filing of the Prospectus, Annual Information Form, Fund Facts, and Offering Memorandum documents.
• Assist with the onboarding process, ongoing account activities and recordkeeping of corporate shareholders.
• Assist with the review of marketing materials and co-operative marketing requests.
• Assist with the review of account opening documents for discretionary managed accounts.
• Assist the business development team to service advisors and other clients.
• Maintain appropriate paper and electronic records.
• Other compliance and/or administrative tasks, as assigned.
• Keep abreast of changes to compliance procedures, firm policies, compliance manuals and rules, regulations, and requirements of securities regulatory authorities; and
• Work to continually improve product and compliance knowledge by completing industry courses, participating in seminars, workshops, and conferences, proactively reading internal publications, industry news and media releases, and sharing information and ideas with team members.
• Other miscellaneous duties and special projects as assigned.