Compliance Administrator

PearTree Canada

Compliance Administrator

Position: Full Time

The Company

PearTree is the innovator of the flow-through share donation financing structure which unites the Canadian resource and charitable sectors. PearTree works with Canadian Resource Exploration Companies to arrange and close structured Flow Through Donation Financings, while at the same time helping major gift donors reduce their after-tax cost so they can give more to their favourite Canadian

causes.

PearTree Canada is committed to fostering a collaborative, innovative, and supportive work environment. We value integrity, excellence, and engagement, and we strive to create a workplace where every team member feels empowered and appreciated.

Job Description

Role:

The Compliance Administrator is part of the team responsible for ensuring that PearTree's business operations and transactions follow all relevant legal and internal rules focused mainly on ensuring securities regulatory compliance for Peartree Securities Inc. as a registered dealer and fund manager.

Main Responsibilities:

Reporting to the CCO of PearTree Securities, the Compliance Administrator primarily will be focused on:

the administration and maintenance of client files including:

 Maintain and update new client account application and KYC forms as may be required from time to time

 Review incoming documentation to ensure completion and perform initial trade suitability review

 Prepare trade approval forms for compliance sign-off

 Liaise with Client Service and Business Development departments to follow up on account application and/or suitability deficiencies

 Provide support for creation of trade confirmations, quarterly statements and annual compensation report for dissemination to clients

 Maintain a systematic and confidential document filing system

• Coordinate IT support needed for client document process workflows

• Assist with coordination and testing of new process automation

• Assist with managing and monitoring compliance policies and procedures

• Deliver periodic and regular reports on compliance-related matters

• Assist with the preparation of regulatory filings

• Support the development and delivery of compliance training materials for employees

• Assist with the review of marketing materials, including articles and social media posts

• Complete other duties and special projects as may be assigned

Education Level

• Undergraduate Degree or College Diploma in Law, Finance, Business Administration or a related field preferred

Skills, Knowledge and Experience

• 2- 5 years' experience working for an EMD or CIRO dealer in a compliance or related capacity

• Significant experience working with Salesforce required

• Strong attention to detail required

• "Know Your Client" (KYC) experience required with emphasis on Exempt Market products

• Experience with National Instrument 45-106, 31-103and AML guidelines in Canada

• Knowledge of Flow Through Shares an asset

• Ability to handle sensitive and confidential information with the utmost discretion

• Intermediate level of proficiency in MS Suite with emphasis on Excel

• Excellent communication (written and verbal) and organizational skills

• Ability to work in a fast-paced, deadline driven working environment

* Right now, we support a hybrid approach to our work model. This gives everyone the best of both worlds – a mix of home and in-office workdays. Schedules will be determined in partnership between individuals, managers, and the team.

Only those candidates who will be selected for further consideration will be contacted. PearTree Canada is committed to supporting diversity and accessibility. If you require an accommodation throughout the recruitment process, we will work with you to meet your needs