Compliance Officer

Canaccord Genuity is a fast growing, independent, global, institutional brokerage and investment-banking firm. The candidate for this position will be based in Boston and will play an active role in internal branch inspections, employee registrations and general regulatory compliance efforts for the firm.

A successful candidate thrives in a collaborative team environment with the ability to simultaneously manage competing deadlines and tasks. Strong communications skills are required as the role will interact with various departments, staff, and management levels on a variety of topics.

This position will require travel of approximately 1 week per month.

Essential Job Functions
Responsibilities will primarily focus on internal branch inspections (both remote and in person) as well as employee registrations.  Additionally, the role may have some combination of the below responsibilities.

Generalist Compliance Function

• Marketing review.
• Outside Business Activity, Private Security Transaction, and similar disclosures.
• Employee personal trading monitoring.
• Compliance testing.

Required Qualifications

• 3+ years of experience in a broker/dealer compliance role. 
• Experience in general broker/dealer compliance.
• BA or BS degree required.
• Series 7 and 24 or ability to obtain within 6 months of hire.
• Self-starter with time management skills and the ability to administer individual caseloads.

Driven by your success
A career at Canaccord Genuity means working for a client-centric organization with a global reach across 10 countries.  We are driven to achieve for our clients, our shareholders and each other – our people and culture are at the heart of our success. No matter what your role, you have the opportunity to make a positive difference through your ideas and hard-work and be rewarded for your performance.  

Driven by diversity and inclusivity
Canaccord Genuity is committed to encouraging a diverse workforce and to promoting a respectful and inclusive culture in which everyone has the opportunity to thrive and realize their potential. We recognize that diversity across our business strengthens relationships, enables more innovative solutions for our clients, as well as creating a more stimulating place to work.
Building and developing a truly varied team of talented people from all walks of life is essential for tackling new global challenges, adapting to changing markets and appealing to an increasingly diverse client base.
 

Location: Boston

Salary: $70 - 80,000

Department: Corporate

Company: Canaccord Genuity LLC

Reference: 16144913

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IT Infrastructure Intern

Canaccord Genuity LLC IT is offering an exciting opportunity to gain hands-on IT operational experience in a fast-paced financial services environment. IT operations is at the intersection of all IT disciplines, whether you’re interested in development, cybersecurity, networking, or project management, this is an opportunity to see how these areas of study translate to the actual work of a financial services firm.     

This internship will provide hands-on experience in the following IT disciplines:

1. Helpdesk
2. Desktop Support
3. Cybersecurity
4. Agile project concepts
5. Inventory Management

To gain this experience, the Intern will handle a full range of support and projects, which may include the following (as circumstances permit):

JOB FUNCTIONS

• Provide in office support for all IT equipment (includes computers, peripheral devices, and software)
• Support all employees and respond to all incidents in a timely, courteous, and efficient manner
• Provide training on an as-needed basis to employees
• Setup and Configure video conferencing and client presentations
• Cybersecurity Remediation (patch management, virus\malware remediation, Incident Escalation,  Network and System Testing)
• Assist in deployment of new technologies and other related tasks
• Manage IT inventory including all equipment, licenses, service agreements, and support contracts
• Setup and troubleshoot mobile devices
• Responsible for the installation of Operating System and Antivirus updates as necessary
• Move, Add, and Change all technology associated with the computing environment
• Attend/Participate in IT Department meetings
• Monitoring IT support line and email documenting and assigning issues
• Create and update documentation including incidents, requests, and knowledge base articles
• Performs all functions as assigned by management

Projects and Special Assignments

• Inventory project: e-waste and data loss prevention preparation
• Third-party Risk Management Project: Security questionnaire database
• Cybersecurity Training Follow-ups

Traits for the successful Intern:

• Insatiable curiosity
• Strong organizational skills, able to handle and prioritize multiple tasks
• Strong interpersonal skills
• Ability to work collaboratively in a team environment

Driven by your success
A career at Canaccord Genuity means working for a client-centric organization with a global reach across 10 countries.  We are driven to achieve for our clients, our shareholders and each other – our people and culture are at the heart of our success. No matter what your role, you have the opportunity to make a positive difference through your ideas and hard-work and be rewarded for your performance.  

Driven by diversity and inclusivity
Canaccord Genuity is committed to encouraging a diverse workforce and to promoting a respectful and inclusive culture in which everyone has the opportunity to thrive and realize their potential. We recognize that diversity across our business strengthens relationships, enables more innovative solutions for our clients, as well as creating a more stimulating place to work.

Building and developing a truly varied team of talented people from all walks of life is essential for tackling new global challenges, adapting to changing markets and appealing to an increasingly diverse client base.

Location: Boston & NYC

Department: Corporate

Company: Canaccord Genuity LLC

Reference: 16007972

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Regulatory Affairs Junior Analyst

Canaccord Genuity is a fast-growing, independent, global, institutional brokerage and investment-banking firm. The candidate for this position will join the Regulatory Affairs Compliance group offering support in responding to regulatory inquiries from the SEC, FINRA, and other securities regulators, as well as routine regulatory exams. 

This position has a hybrid schedule, based in New York City, and will report to the Regulatory Affairs Specialist.

Essential Job Functions

• Collect documents and information for purposes of responding to requests.
• Analysis of requests, responses, and related documents for potential regulatory issues.
• Interface with business units, legal department, operations, and other internal groups in connection with preparation of responses and gathering documents.
• Assist with preparation of written responses.
• Assist with review and preparation of documents for production to regulators.

Required Qualifications

• Minimum 1 year experience in securities compliance.
• Strong oral and written communication skills.
• Strong analytical skills.
• Must have strong attention to detail and time management skills.
• Experience with Microsoft Excel and PowerPoint.

Driven by your success
A career at Canaccord Genuity means working for a client-centric organization with a global reach across 10 countries.  We are driven to achieve for our clients, our shareholders and each other – our people and culture are at the heart of our success. No matter what your role, you have the opportunity to make a positive difference through your ideas and hard-work and be rewarded for your performance.  

Driven by diversity and inclusivity
Canaccord Genuity is committed to encouraging a diverse workforce and to promoting a respectful and inclusive culture in which everyone has the opportunity to thrive and realize their potential. We recognize that diversity across our business strengthens relationships, enables more innovative solutions for our clients, as well as creating a more stimulating place to work.

Building and developing a truly varied team of talented people from all walks of life is essential for tackling new global challenges, adapting to changing markets and appealing to an increasingly diverse client base.
 

Location: New York

Salary: $70 - 80,000

Department: Corporate

Company: Canaccord Genuity LLC

Reference: 15970157

More info