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Current opportunities :

 

 Position – Compliance Officer

GF Securities (Canada) Co. Ltd., wholly owned by GF Securities, is the first Chinese securities company to establish a subsidiary in Canada. Establishing our North American headquarters in Vancouver marks another key step in the process of our globalization. China and Canada are highly complementary in terms of their economies and international trade. The prospects for Chinese companies investing in Canada and Canadian companies expanding into Chinese markets are both promising, with an increasing demand for investment banking services on both sides. 

Our success has been a direct result of the talent, skills and persistence of our people. We are currently looking for qualified candidates to join our team. Working under the general direction of the Chief Compliance Officer will provide compliance support and supervision to the investment advisory team, and an AFR/DCO to the regulator.

Job Duties:

    Partner with CCO provide compliance support to Investment Advisors.

    Be an AFR to NRD, ComSet and other regulatory portals.

    Disseminate, clarify, update, edit and maintain internal policies and procedures.

    Assist in supervising and implementing AML program.

    Participate in coordination of regulatory exams, inquiries and investigations by regulators.

    Conduct testing/monitoring, reporting findings and drafting recommendations to Compliance and business line management.

    Distribute compliance information regarding all aspects of regulatory compliance to the business units.

    Assess the impact of new and existing regulations, develop action plans, and provide guidance to the business units.

    Develop and update the regulatory compliance policies and procedures.

    Participate in due diligence reviews of unaffiliated third party vendors, as needed.

    Participate in due diligence reviews of new hires.

    Participate in due diligence reviews of new products.

    Be a DCO to review client complaints and assist with regulatory filings.

    Serves as resource and respond to business units and staff on regulatory compliance related inquiries.

    Assist business units with crafting training programs and obtaining annual certifications.

    Other ad hoc duties as assigned.

We look for:

    General knowledge of applicable IIROC rules governing dealer and investment adviser responsibilities.

    General knowledge of compliance examination techniques.

    4-year Bachelor's Degree.

    Work experience with financial institutions.

    Good written and verbal communication skills.

    Keen analytical skills.

    Strong project management and interpersonal skills.

    Proficient in MS Office applications.

    Ability to perform multiple tasks in a fast paced team environment.

    Ability to appropriately apply rules and regulations to varying business models.

    Under general direction, solve problems of moderate scope and complexity.

    Refers to industry regulations and company policies for guidance.

    Travel may be required upon occasion to and from downtown and Richmond office.

Application Process

Please apply by sending resume and cover letter as attachments to career@gfsecurities.ca. We will review your application based on the requirements of the position. Due to the large volume of candidates, only those who are most qualified will be contacted.

 

 

 

 Position – Investment Advisor

GF Securities (Canada) Company Limited is currently hiring both new and seasoned Investment Advisors to build long-term relationships with affluent and high net worth clients in Richmond and the lower mainland of Vancouver.  

As a new Investment Advisor within GF Canada, you will have an opportunity to help the local executive management team shape our wealth management offering in Canada. Not only will you be with a new and exciting firm with a connection to our Parent in China, referrals will made to our advisors of from our parent company. This is an ideal opportunity to work with a firm that is locally managed with international connections and influence.

This role is ideal for a sales professional who has a strong drive to succeed and who is comfortable in a commissioned sales role. If you have a strong entrepreneurial spirit with the networking skills to build long-term, advisory relationships, we would like to hear from you.

What we're looking for

    You are sales-oriented, self-motivated/managed, disciplined and responsible with a strong work ethic.

    You have well-developed listening skills and an ability to interpret client needs.

    You have a talent for networking and enjoy seeking out new clients through referrals from professional advisors, working with community associations and asking for referrals from previously satisfied clients.

    You can foster relationships with other GF Securities partners (banking, insurance, capital markets) to bring the best of GF Securities to your clients.

    You are self-assured, outgoing and have a strong determination to succeed.

For individuals who want to build a career in wealth management, GF Securities offers

    A dedicated management team in Canada that is focused on helping you grow and manage your business.

    Support from our strong parent company in China with a desire to become a large institution in the Canadian brokerage industry.

    Solid back office solutions and top research provided by GF securities Canada’s, carrying broker, who is locally based on the west coast.

Knowledge and Experience

    Must have entrepreneurial spirit to build a book of clients through networking, cold calling, prospecting, referrals, seminars, etc.

    Strong communication and presentation skills in both English and Mandarin.

    Must be results-focused.

    Preferred:
- Existing Licensed Investment advisor
- At least 1-year full-time work experience
- Completion of PFP, CIM
- Proven success in sales and business development, regardless of industry/discipline

    Mandatory: Canadian Securities Course and Conduct & Practices Handbook.

    Relevant post-secondary degree or diploma required (i.e. BBA, Bcomm etc)

Application Process

Please apply by sending resume and cover letter as attachments to career@gfsecurities.ca. We will review your application based on the requirements of the position. Due to the large volume of candidates, only those who are most qualified will be contacted.

To be considered for employment, candidates will be required to provide proof of citizenship, permanent residency or eligibility to work in Canada with no restrictions. We require applicants to complete a background verification process prior to commencing employment with the company, including but not limited to a credit and criminal record check.

 

 

 

 

Please email resume and covering letter to career@gfsecurities.ca.

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