Branch Auditor

Who we are:

Harbourfront Wealth is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing CIRO registered securities dealer with over 10 billion in assets. The firm provides financial services and holistic wealth management solutions for mid to high-net-worth individuals. At Harbourfront Wealth, our core values start with the belief that great people make great companies. Our head office is in downtown Vancouver with over 43 branches across Canada.

Career opportunity:

We are seeking a detail-oriented and experienced Branch Auditor to join our team. The successful candidate will be responsible for conducting audits of our branch offices to ensure compliance with regulatory requirements and internal policies. Reporting into the Director of Compliance, Regulatory Affairs, this is permanent full-time hybrid position based out of our head office in Vancouver, BC.

You will be responsible for:

• Conduct comprehensive audits of branch offices to assess compliance with CIRO regulations and internal policies
• Review and analyze financial records, transactions, and operational procedures
• Identify areas of non-compliance and recommend corrective actions
• Prepare detailed audit reports and present findings to senior management
• Collaborate with branch managers and staff to implement audit recommendations
• Stay updated on regulatory changes and industry best practices

The ideal candidate for this position has:

• University degree. Business, finance, accounting, or a related field preferred.
• Industry experience in auditing, preferably within the financial services sector and completion of the Canadian Securities Course (CSC) would be an asset.
• Knowledge of CIRO regulations and compliance requirements.
• Excellent analytical, communication, and interpersonal skills.
• Ability to work independently and as part of a team.
• Proficient in Microsoft Office Suite.
• Willing to travel up to 25% of time

What we offer:

• Competitive salary and benefits package.
• Opportunities for professional development and career advancement.
• A supportive and collaborative work environment.

Salary Range:

$60,000 – $75,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity).

Diversity and Inclusion:

Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.