Operations and Compliance Analyst

PWL Capital - Employment Offer, Montréal

Location:   Montreal

Type:  Permanent, full time

Department:   Operations and Compliance

Supervisor:   Senior Director, Operations and Compliance

PWL Capital Inc, is a wholly owned subsidiary of PWL Wealth Management Inc. with their Head Office located in Montreal. As a Broker Dealer and IIROC member firm, PWL Capital’s business activities are centered on serving Canadian high net worth clients and families who entrust us to manage their investment portfolios on a discretionary Managed Account basis. It is a rapidly expanding wealth management firm with offices in Montreal, Ottawa, Toronto and Waterloo. With 40 employees and just over $1b in assets under management, PWL Capital is in a strong growth period.

We are currently seeking a candidate to fill the role of Operations and Compliance Analyst

Primary responsibilities include:

-   Review, analysis and approval of client account openings, updates and material changes;
-   Follow-up on missing documentation and ensure reception within prescribed deadlines;
-   Middle office support, as required, between PWL Advisor teams and NBCN, our carrying broker;
-   Daily document log maintenance;
-   Update of the account number list for PWL;
-   Ensure data integrity on Know Your Client and fee data in Purefacts and OSS;
-   Adjust cost/book value of client positions within their Purefact portfolios, as requested by the PWL Advisor teams;
-   Allocate block trades to client accounts via NBCN;
-   Monthly reconciliation of internal control accounts;
-   Monthly GIC commission and trade ticket reconciliation;
-   Assist with the production and mailing of semi-annual performance reports;
-   Documentation of processes and procedures in collaboration with the Operations Officer and Senior Director;
-   Key Performance Indicator maintenance & production;
-   Participate in projects as required;
-   All other related tasks as assigned.


-   Preparation of the Quarterly Due Diligence audit for CCO review and distribution to the PWL Advisors teams;
-   Tracking Continuing education credits for all IIROC registered employees;
-   UN monthly reporting;
-   AML & Anti-terrorist monthly review;
-   All other related tasks as assigned.

Desired Credentials:

-   5 years of pertinent experience in the securities industry within an IIROC or ICPM firm;
-   Bachelors in Business Administration with concentration in Finance, Bachelor’s in Commerce, or equivalent;
-   Canadian Securities Course & Conduct and Practices Handbook required;
-   Knowledge of portfolio management systems (Croesus, Purefacts etc);
-   Strong excel ‎abilities (v-lookup, pivot tables etc);
-   Branch Manager designation, an asset;
-   Perfectly bilingual, English and French.

‎Ideal Candidate Profile:

-   Open and collaborative, excellent Team Player;
-   Strong organizational skills;
-   Client service orientation;
-   Knowledgeable person with very high integrity;
-   Takes initiative and self-motivated;
-   Enjoys working in an entrepreneurial environment;
-   Results oriented;
-   Enjoys variety in their nature of their work;
-   Adaptable to the small company environment /changing environments.

If you have these qualifications, please send your CV to:

We will contact you if you are accepted for a candidate interview.

Thank you for your interest in this position.