March 20, 2015 Chief Compliance Officer, Vancouver ZLC Wealth

March 20, 2015
Chief Compliance Officer, Vancouver
ZLC Wealth Inc.
ZLC Wealth Inc., a subsidiary of ZLC Financial Ltd., is a Vancouver based wealth management firm
providing tailored wealth management solutions for individuals, trusts and corporations. Established in
2000, ZLC Wealth has formed a team of dedicated, proud professionals committed to the success of our
clients. Our portfolio offerings consist of experienced third party fund managers who share our sound
investment philosophy and our concentration on capital preservation. The firm is registered as a
portfolio manager and exempt market dealer in various Provinces in Canada.
We are seeking to fill the role of Chief Compliance Officer at our Vancouver office. The ideal candidate
is an experienced compliance professional with strong leadership qualities and a mindset well suited for
a high growth environment.
Key Responsibilities:
 Reporting to the President, ZLC Wealth and the Ultimate Designated Person;
 Develop and maintain a compliance regime at the firm, which is built on the highest level of
ethics and professional standards;
 Provide strategic insight into the direction of the firm, from a compliance perspective;
 Provide compliance leadership, mentoring and enforcement to all securities registered
employees;
 Monitor and update relevant policies and procedures when appropriate;
 Monitor trades, including applicable exemptions used;
 Review marketing and promotion related materials
Qualifications:
 A minimum of 10 years of industry experience, with at least five years in a compliance role at a
portfolio manager or exempt market dealer;
 Experience in an MFDA/IIROC environment is an asset;
 Completion of an undergraduate degree;
 The ability to be registered as a Chief Compliance Officer with provincial securities regulators is
required;
 Completion of the CFA, CIM or CA designation is an asset;
 Experience using Dataphile and Ndex portfolio management software is an asset;
 Ability to work in a dynamic, growth oriented environment;
 Strong leadership and supervisory skills
Candidates are invited to submit their resume and cover letter to [email protected], along with their
salary expectations. ZLC Wealth provides competitive compensation packages, including benefits.
We would like to thank all applicants, but only those selected for an interview will be contacted.
This posting closes March 27th at 5:00pm PST.