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Chief Compliance Officer

Department
Head Office
Location
Vancouver, BC
Type
Full-time

We believe in forging long-lasting relationships to create positive change in our communities. We’re building something greater in each pillar of Peterson including real estate investment, development, property management, capital lending and private equity. As we continue to grow, we stay true to our values by putting relationships first, standing by our word and striving for something greater in everything we do. We are looking for a full-time Chief Compliance Officer at our head office located in Downtown Vancouver. As we look towards securities registration to bring our investment opportunities to outside investors and partners, the Chief Compliance Officer position is responsible for successfully navigating through the securities registration process, ensuring regulatory compliance, establishing and executing compliance programs, and keeping up to date with compliance requirements within Canadian regulations and the investment industry. If you are positive, business-oriented, hardworking and hold yourself to high ethical standards, we want to hear from you!

Responsibilities

  • Navigate the securities registration process and putting in place an internal compliance program;
  • Maintain integrity of compliance program by performing periodic compliance risk assessments and ensuring compliance issues are identified, addressed and escalated;
  • Stay current with the regulatory environment and ensure internal compliance program incorporates any new laws and regulations;
  • Assist with internal and external audits and ensure all regulatory registration and filing obligations are met;
  • Have an effective process in place to on board clients, including those who are non-Canadian residents or entities such as trusts, limited partnerships and corporations;
  • Create an effective system of client and file documentation for both internal compliance and regulatory purposes;
  • Able to address and respond to regulatory inquiries as required; and
  • Assist in other aspects on the business as required

Qualifications

  • A combination of experience and qualifications required to register as a “Investment Fund Manger – Chief Compliance Officer” as set out in the Nation Instrument 31-103 section 3.14 (https://www.bcsc.bc.ca/Securities_Law/Policies/Policy3/PDF/31-103__NI___June_12__2018/);
  • 3 years of relevant securities industry work experience;
  • CFA, CA, CGA, CMA or professional designation as a lawyer;
  • Successfully pass relevant proficiency exam(s);
  • Functional knowledge of Canadian registration and filing requirements;
  • Experience with using reporting portals such as SEDAR and NRD;
  • Reasonable understanding of securities offered to investors, especially real estate related;
  • Ability to develop positive and professional relationships with senior management and clients while practicing excellent verbal and written communication skills; and
  • Strong time management skills, attention to detail and an innovative problem solver.

Apply Now

Start challenging yourself today in an environment that embraces diversity and rewards innovation with competitive pay and great benefits. While we thank all candidates for their interest in joining our team, we will contact only those short-listed for an interview. Please note only Microsoft Word documents or PDF’s will be accepted.

Please send your resume and cover letter to:
careers@petersonbc.com