Overview
Regulatory Coordinator Jobs in Burlington, Ontario, Canada at Aligned Capital Partners Inc.
Aligned Capital Partners Inc. (ACPI) is a fast-growing investment dealer with a dynamic team looking to expand our business exponentially. Our corporate culture encourages teamwork, service excellence, creativity, and initiative. We are currently hiring for a full–time Regulatory Coordinator to join our team in Burlington . We are looking for an individual who takes pride in being professional and demonstrates fantastic client service.
Job Overview
The main accountability of this role is to ensure that our Advisors are aligned with the rules and regulations as set out by the Canadian Industry Regulatory Organization (CIRO) and the Canadian Securities Regulators. We are looking for someone who can comfortably and confidently review information, following up promptly and in any way needed. The Regulatory Coordinator must successfully manage volume without sacrificing attention to detail or quality.
What You Will Do
Review and approve initial account opening and Know Your Client (KYC) Updates
Review and approve sales communications
Perform regulatory review and approval of website and marketing materials
Determine items for escalation to the Compliance team
Recommend on regulatory matters for circulation to clients
Coordinate with auditors within our Compliance group
What You Will Bring
University Degree or College Diploma preferred
Recent CIRO registration, or recently working towards registration
Financial services/investment dealer experience and strong knowledge of investment industry
Demonstrated ability to provide fantastic client service
Excellent communication and time management skills
Strong MS Office skills (Outlook, Word and Excel) and proven ability to learn new technology
Proven ability to manage high volumes with a positive and professional attitude
What We Bring
We are committed to a positive employee experience fostered through an open and collaborative work environment.
We offer you:
Competitive compensation
Recognition of your accomplishments
Communication and feedback
Investment in your training and development
Commitment to your health and well-being
Aligned Capital Partners Inc. is an equal opportunity employer. Please contact us at  if you require any accommodation in order to fully participate in our recruitment process.
Title: Regulatory Coordinator
Company: Aligned Capital Partners Inc.
Location: Burlington, Ontario, Canada
Category: Finance & Banking (Office Administrator/ Coordinator), Administrative/Clerical (Office Administrator/ Coordinator)
