About Value Partners Investments
LP Financial Planning Services Ltd. is a Winnipeg-based CIRO dealer that has been supporting financial advisors for over thirty years and continually strives to integrate industry-leading processes and systems. Presently servicing a select group of advisors in Ontario, Winnipeg, and Western Canada, LP Financial is taking steps to grow its footprint and service offering in the Canadian financial services distribution landscape.
The Compliance Specialist, reporting directly to the Chief Compliance Officer, will play a key role on the
operations team to fulfill the multifaceted regulatory obligations of a mutual fund dealer. This position has
a broad range of responsibilities that will allow the successful candidate to learn, experience and flourish in
many different areas of compliance.
5 Job openings in Value Partners Investments
Role & ResponsibilitiesPrimary responsibilities include but are not limited to:Handle mutual fund and life insurance administration tasks including completing client transactions registrations and data entry with a high level of professionalism and confidentialityProvide timely ad More...
Conduct ongoing compliance monitoring activities of mutual fund registrants at either a Tier 1 or 2 levelFile NRD registration applications notices and terminationsAssist with the creation and updates of policy and procedures manualWork with the dealers Investment Product Committee to More...
Conduct ongoing compliance monitoring activities of mutual fund registrants at either a Tier 1 or 2 levelFile NRD registration applications notices and terminationsAssist with the creation and updates of policy and procedures manualWork with the dealers Investment Product Committee to More...
Reporting to the Director of Operations the Operations Associate provides critical high-level support to the VPIC Team. The incumbent is responsible for managing account and systems administration reconciliation data integrity and reporting processes. The Operations Associate collabor More...
Reporting to the Director of Operations the Operations Associate provides critical highlevel support to the VPIC Team. The incumbent is responsible for managing account and systems administration reconciliation data integrity and reporting processes. The Operations Associate collabora More...
