Chief Compliance Officer/Advising Representative

Richmond, BC
$120,000 Total Compensation Salary + Bonus
Apr 21, 2023
Jun 20, 2023
Job Function
Industry Sector
Asset Management
CFA Charterholder
Employment Type

About Us:

Hua Sheng Advisory Inc. has been providing financial advisory services to local clients for over 8 years, and we are now seeking to establish a portfolio management firm of our own. We are looking for a Chief Compliance Officer/Advising Representative to help our team establish compliance rules and navigate through the starting phase of our new firm. If you meet the qualifications and experience requirements and are interested in this opportunity, please apply with your resume and cover letter.

Key Duties:

• Establish company-wide compliance procedures and train team members to comply with the compliance rules

• Monitor all activities to ensure compliance with company and IIROC rules

• Communicate with the team and regulators promptly

Key Qualification:

• Current CFA charter holder

• Ability to take and pass Chief Compliance Officers Qualifying Examination by CSA

• Meets the work experience requirements

• Must be a resident of British Columbia

Key Benefit:

• Retired industry veterans are welcome

• Option to work from home

• Flexible working hours

• Very light workload

Work Experience Requirements:

At least one year of experience in the past 3 years registered with IIROC in either of the following fields in an IIROC member firm, any of the following experience counts:

1. Was registered as an Advising Representative or Associate Advising Representative in an IIROC member firm

2. Experience in supporting registered portfolio managers, such as working with portfolio managers to formulate, draft, and implement written investment policy statements for clients and researching and analyzing individual securities for potential inclusion in investment portfolios.

3. Experience working as a research analyst with a major IIROC member firm, conducting research and analysis of individual securities with recommendations to determine their suitability for inclusion in client investment portfolio

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