Canaccord Genuity Wealth Management (UK, Channel Islands and Isle of Man)

Financial Crime

• Conduct and complete risk-based investigations into individual and legal entity clients using transactional information, open-source research and client documentation
• Determine investigation outcomes regarding the requirement to complete Suspicious Transaction Reports (STRs) with FINTRAC
• Prepare STRs, including entering transactional data from investigations into FINTRAC reporting software
• Maintain accurate records of investigative actions and outcomes in line with internal policies and regulatory requirements
• Advise supervisors, management and internal stakeholders on investigative outcomes
• Provide support to supervisors and VPs, Compliance
• Provide input for processes and procedures to assist the firm in meeting regulatory requirements
• Perform time-sensitive tasks, including year-end and regulatory audit inquiries, in response to regulatory and internal stakeholder inquiries
• Handle internal and external queries efficiently to promote business and profitability
• Document queries and results to target and resolve potential deficiencies

AML Analyst

Associate

• Execute mutual fund and GIC transactions with a high level of accuracy
• Analyze mutual fund order rejections and communicate back to investment advisors and fund manufacturers
• Initiate trade confirmation and wire payment instructions to GIC issuers
• Reconcile and maintain client accounts to match fund manufacturer and GIC issuer records
• Manage accounts payable for the department
• Process mutual fund commissions and trailer fees
• Monitor fund disclosure document delivery failures
• Administer non-financial changes
• Assist with other department functions as required
• Communicate effectively with portfolio managers, investment advisors and fund manufacturers

AML Analyst

Associate – Mutual Funds, GICs