Compliance Associate at Ventum Financial Corp. – Calgary, Alberta
Explore Related Opportunities
About This Position
Ventum Financial a leading independent, Canadian-owned and operated private client and capital markets firm, known for our client-centric approach and entrepreneurial spirit.
Position Overview:
The Compliance Associate supports the Compliance and Registrations teams with regulatory filings, record maintenance, and day-to-day compliance monitoring. The role assists with supervision activities and administrative tasks that support the firm’s compliance with CIRO rules and other regulatory requirements.
Duties & Responsibilities:
Registration and Compliance
- Assist with preparing and submitting individual registration filings through the National Registration Database (NRD)
- Maintain employee registration records and assist with updates
- Monitor regulatory notices, filing deadlines, and compliance requirements
- Maintain regulatory and compliance documentation and records
- Monitor and maintain employee PRO accounts to ensure compliance with regulatory requirements and firm policies.
- Track and maintain Continuing Education requirements for registered employees
- Assist with internal compliance reviews (e.g., annual attestation)
- Support regulatory requests, audits, or information requests
- Assist with compliance projects or regulatory initiatives as required
Administrative Support
- Provide general administrative support to the Compliance and Registrations teams
- Maintain compliance files and internal documentation
- Assist with coordinating meetings and preparing materials when required
- Distribute compliance materials and onboarding information to new employees
- Support office organization and assist with general administrative duties as required
Knowledge, Skills & Abilities:
Education
- University or college business degree and/or relevant experience in financial services (experience with a CIRO Dealer Member preferred)
- Relevant CSI courses (CSC and CPH), or the ability to meet applicable proficiency requirements, considered an asset
- Commitment to ongoing professional development and continuing education
Professional Experience
- Familiarity with CIRO rules and related securities regulations
- Understanding of securities industry practices and regulatory requirements
- General knowledge of compliance and supervision processes within a dealer environment
Personal and Skills Competencies
- Strong organizational and administrative skills
- Advanced proficiency in Microsoft Office (Word, Excel, Outlook)
- Ability to manage multiple priorities and meet deadlines
- Strong attention to detail and accuracy
- Ability to work collaboratively with different departments
- Maintain professionalism, integrity, and discretion when handling confidential information
- Familiarity with the NRD system is an asset
We wish to thank all candidates for their interest but only those applicants selected for an interview will be contacted.
Ventum is committed to fostering an inclusive, accessible environment where all employees and customers feel valued, respected and supported. If you are invited to interview and require accommodation (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.