Client Services Associate, Compliance & Investor Relations

Exciting opportunity has arisen for a dedicated and detail-oriented professional to join a leading investment management firm as an Associate in Compliance and Investor Relations. This role offers the chance to be part of a dynamic Client Relationship team, where you will play a crucial role in client onboarding and account maintenance. ASSOCIATE - TOP TIER ASSET MANAGEMER Keywords: Asset Management, Compliance, Investor Relations, Client Relationship With a focus on compliance with securities and Anti-Money Laundering (AML) regulations, this position is perfect for someone with exceptional interpersonal skills, a professional demeanour, and meticulous attention to detail. The successful candidate will benefit from an industry-leading compensation package and the chance to contribute to the long-term capital growth of high-net-worth families, institutions, and wealth advisors.

• Join a dynamic Client Relationship team at a leading investment management firm
• Play a crucial role in client onboarding and account maintenance
• Benefit from an industry-leading compensation package

What You'll Do As an Associate in Compliance and Investor Relations, your primary responsibility will be assisting with client onboarding and account maintenance. You will work closely with clients to ensure their documentation is accurate and compliant with industry regulations. Your role will also involve regular engagement with clients to resolve any account-specific inquiries. In addition, you will collaborate with internal teams on various compliance-related tasks such as conducting self-assessments, completing periodic reviews, filing regulatory reports, and more. Your ability to identify and escalate issues while providing thoughtful solutions will be key to your success in this role.

• Assist with client onboarding and account maintenance, focusing on the collection of Know Your Customer (KYC) information
• Ensure compliance with securities and AML regulations
• Work closely with clients to resolve account-specific inquiries
• Collaborate with internal teams to conduct compliance self-assessments, complete periodic compliance reviews, file regulatory reports, and undertake other projects
• Provide administrative backup coverage and assistance as needed
• Identify and escalate issues while offering thoughtful solutions to complex matters

What You Bring The ideal candidate will bring a wealth of experience in client-facing roles that require knowledge of OSC rules, regulations, and AML/KYC vetting related functions. You should hold current registration as a Dealing Representative (Exempt Market Dealer) along with at least two years of relevant experience. A Bachelor’s Degree is also required. Your exceptional client service and relationship-building skills will be crucial in this role, as will your proficiency in MS Office. Above all, your meticulous attention to detail will set you apart.

• Current registration as a Dealing Representative (Exempt Market Dealer)
• At least one year of client-facing experience in a role requiring knowledge of OSC rules and regulations and AML/KYC vetting related functions
• Bachelor’s Degree
• Exceptional client service and relationship-building skills
• Proficiency in MS Office
• Meticulous attention to detail

What Sets This Company Apart This leading investment management firm has a distinguished 25-year track record and manages $6 billion in assets for over 1,000 clients. The firm prides itself on its focus on long-term capital growth for a clientele of high-net-worth families, institutions, and wealth advisors. Employees share in the success of the firm through an industry-leading compensation package. What's Next Ready to take the next step in your career? Don't miss out on this exciting opportunity! Apply today by sending your cover letter, resume and transcript by email. Please note that only candidates selected for an interview will be contacted.