Compliance and Administration Assistant - FILLED
Staff Systems is currently recruiting for a Compliance and Administration Assistant for a Vancouver based brokerage firm. The Compliance and Administration Assistant works closely with the Chief Compliance Officer to complete the daily compliance and operations functions required in the Vancouver office of the company. Strong administrative experience is required and previous industry experience is a large asset. This position requires office hours of 6am to 2pm, Monday to Friday.
Functions to be performed include the following:
- Processing client and company deposits.
- Processing stock certificate withdrawals and deposits.
- Sending, receiving and distributing mail and courier packages.
- Compiling information as requested by regulating entities under direction
of the CCO.
- Internal distribution of bulletins and buy-in notices and responses
to buy-in notices.
- Assisting with daily and monthly trade and other reviews under the direction
of CCO.
- Liaising with the carrying broker on behalf of the company with regards
to trade or client issues, account restrictions and other tasks as required.
- Liaising with external support consultants with regards to IT issues
in the Vancouver office.
- General office management tasks including ordering of office supplies
and management of interoffice communications and information flow.
- Maintenance of compliance files.
- General telephone an initial office reception.
Skills required:
- Proficiency with Microsoft Office (Word, Excel, PowerPoint, and Outlook).
- Brokerage firm experience preferred, and familiarity with brokerage
systems such as ISM and Dataphile.
- Good telephone and interpersonal skills.
- Industry specific courses such as the Canadian Securities Course are
an asset.
For consideration, please email your resume to careers@staffsystems.ca.