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Our Member Liahona Capital Inc. is hiring for multiple positions!

November 27, 2017  
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Chief Compliance Officer – Barrie, Ontario

 

About our Company…
Employment opportunity with progressive Exempt Market Dealer currently registered in the provinces of Ontario and British Columbia.  We distribute private real estate based investments and other income-based private investments.

We provide investment opportunities to high net worth individuals through our direct contacts and relationships with accounting firms and other professionals.

The Opportunity…
We are seeking a Chief Compliance Officer to oversee and assure the successful execution of all operational compliance tasks.  The successful candidate will report to the CEO/UDP.  We look for a qualified professional who will grow within the organization and serve as a key member of the leadership team.

Key Responsibilities
Organize the compliance calendar and ensure all compliance tasks are completed on a timely basis
Provide guidance to staff on matters related to client documentation, purchase agreements and suitability
Ensure the effective review and approval of all investor transactions
Oversee the development and approval of all marketing documents and investor communications
Assist the CEO on due diligence review and approval of third-party funds
Serve as the point of contact on compliance-related queries from clients
Ensure the firm is in compliance with its record keeping protocol
Liaise with the firm’s external compliance consultant or securities lawyer, as appropriate, on individual and corporate registration matters
Ownership in the implementation of new regulatory requirements and general compliance related queries.
Organize, track and assist with the completion of special projects including the implementation of new regulations
Recommend changes to internal processes for greater efficiency and/or effectiveness

Position Requirements

5+ years experience working in a compliance role with a Canadian Exempt Market Dealer Product Issuer or demonstrated equivalent experience
Highly organized, capable of balancing multiple tasks and deadlines; able to wade through ambiguity and bring clarity to all aspects of operations
Ability to work independently, while performing effectively in a team oriented environment
Initiaitive, self-starter-- driven professional
Proven attention to detail
Ability to navigate complex documents, carry out due diligence, analysis and recommendations

Please respond in confidence to careers@liahona.ca  along with your current resume, education and professional experience. Please include salary expectations and availability.


Liahona Capital is currently seeking qualified professionals to complement our successful financial services team.

As a licensed Dealing Representative, you will bring demonstrated success in the promotion and sale of a range of investment funds in the exempt market and mortgage investment space.

Working closely with qualified, high net-worth investors and institutions, you will deliver solutions which fully align with your client’s needs.

You have a proven passion to secure long-term relationships and a dedication to Liahona’s mission: the preservation and protection of client wealth.

Please take a moment to review our current investment offerings via our website www.liahona.ca

We offer a competitive, fee-based compensation plan which will be attractive to motivated, experienced financial professionals.

Interested candidates are invited to submit their current CV to Liahona at careers@liahona.ca

Must be licensed under OSC as a registered Dealing Representative.

 


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