Senior Compliance Officer, AML

Salary Range Salary Range: $95,000.00 To $105,000.00 Annually About the Company Ventum Financial is one of Canada’s largest independent investment dealers with approximately 400 employees nationwide and approximately $10 billion in assets under administration. Known for its entrepreneurial spirit and client-first approach, Ventum Financial provides expertise across multiple sectors. Purpose Statement Help to implement and manage the AML/ATF Program, including firm wide AML training Conduct risk assessment to identify areas of vulnerability Monitoring and investigation of transaction, KYC and client due diligence Filing suspicious transaction reports or other transaction reports to FINTRAC as necessary Specific Accountabilities Compliance and Supervision Conduct client due diligence and assign risk scores for KYC Conduct names screening at KYC and ongoing for CDD Transaction monitoring daily, monthly and quarterly per risk scores Monitor clients assigned enhanced due diligence Monitor ATF/PEP/Country watch lists for client due diligence and remediation if necessary Prepare and submit UTR, STR or other reporting as required Conduct annual risk assessment and report results to Compliance Committee Ensure Controls Effectiveness Testing on conducted on a bi-annual basis Escalate concerns to CAMLO, Senior Management and to Advisors Prepare regular AML reports on findings of supervision activities Administer the AML/ATF Policies and Procedures to ensure compliance with Proceeds of Crime (Money Laundering) and Terrorist Financing Act Ensure proper recordkeeping and audit trails of investigations, remediation and final outcomes Administer the AML Training program Other financial crimes tasks as assigned Knowledge, Skills and Abilities Education University degree in a related field of finance or economics CAMS certification Relevant CSI courses or able to satisfy the new Proficiency Requirement for Supervision under CIRO Rule 2600 an asset Professional Experience Minimum 3-5 years of relevant securities industry and professional experience within a financial institution Familiar with rules and regulations of PCMLTFA, FINTRAC, CIRO and other AML related regulations or rules Knowledge of securities industry’s regulatory compliance practices, procedures and principles applicable to Securities legislation and regulation Understanding of the operations, organization and infrastructure of a financial institution Personal and Skills Compentencies Have an understanding of securities and regulatory and industry knowledge Advanced skills in Microsoft Office Maintain standards of skill, care and diligence in professional activities Familiarity with the Position Watch database system is an asset An ability to handle a multitude of tasks simultaneously and to thrive, with grace and humour, under pressure Familiarity with the Dataphile Database system is an asset Key Relationships/Contacts Internal Contacts: Client facing team Support team Operations Senior Management External Contacts: FINTRAC CIRO Industry and peer groups Legal Counsel We thank all applicants for their response but only those considered 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. #J-18808-Ljbffr