Operations & Compliance Administrator

SUMMARY:
A mid-level Operations & Compliance Administrator/Paraplanner is needed ASAP.

POSITION INFO:
This mid-level Operations & Compliance Administrator role supports advisors and paraplanners by reviewing business cases, maintaining compliance documentation, and assisting with operational administration. The role works closely with the outsourced Compliance Officer and company Directors but does not act as the Compliance Officer.

Key Responsibilities:

• Review advisor business cases to ensure that all FICA, FAIS, and related documentation is complete
• Maintain compliance records and business case registers
• Liaise with the outsourced Compliance Officer and assist with policy updates and the onboarding of representatives
• Provide operational support to advisors and paraplanners
• Liaise with product providers when required
• Maintain internal processes and workflow administration
• Run monthly commission processes
• Assist with basic finance transactions and reconciliations when required

• 2–5 years’ experience in operations, paraplanning, administration, or compliance support within financial services
• Good knowledge of FICA and FAIS requirements
• Strong administrative skills and attention to detail
• Ability to work to monthly deadlines
• Proficient in Excel
• Professional, reliable, and process-driven
• Experience with Commspace, RE5, and a BCom or a similar qualification