Institutional Compliance Officer

Location: Toronto

Position Summary:

Reporting to the Chief Compliance Officer, you will be primarily responsible for the compliance program supporting the Investment Banking line of business and overseeing the Institutional compliance program development and operation, including ongoing enhancements to policy and procedures. You will be charged with contacting sales staff to implement corrective actions and ensuring compliance with the firm’s policies and procedures as well as industry regulations.

Responsibilities:

• Support new client onboarding
• Trade supervision and compliance reviews of institutional client relationships
• Provide compliance advice to Institutional team and Investment Banking team
• Respond to requests from branches on various compliance issues
• Maintenance and reviews of the Grey and Restricted lists in collaboration with Corporate Finance and Capital Markets
• Monitoring and enforcement of information barriers and related policies and procedures
• Identify, develop compliance and supervisory policies to maintain a high level of expertise in all applicable regulations, directives and guidance
• Approve New Accounts
• Sign Cheques
• Review outgoing client correspondence, sales literature, advertising and social media
• Provide investigative support as required on various compliance projects
• Manage and coordinate Request for Information from various regulatory bodies
• Ensure AML compliance
• Other duties on projects as assigned, including acting as back of for other Compliance Officers when needed

To qualify for this opportunity you possess:

• Minimum 5 years compliance experience or related experience within the securities industry;
• Successful completion of both the Canadian Securities Course and the Conduct and Practices Handbook programs; additional securities courses are an asset;
• In-depth knowledge of regulatory and compliance requirements and issues in the institutionalbusiness of the securities industry;
• Proficiency with MS Office (focusing on Word, Excel and Outlook) and Dataphile;
• Superior oral and written communication skills;
• Well-developed and proven customer service and interpersonal skills;
• Strong multi-tasking skills and the ability to work under pressure;
• Excellent group dynamics and the desire to work in a team environment

Please respond with resume to humanresources@leedejonesgable.com

This position is available immediately and will remain open until a suitable candidate is found. We thank all candidates for their interest. However, only those selected for an interview will be contacted.

Research Analyst

Location: Toronto

Position Summary:

Leede Jones Gable is currently seeking a Research Analyst in our Toronto Office. The successful candidate will report to the Managing Director, Capital Markets.

Key Tasks and Responsibilities include but are not limited to:

• Provide research coverage and recommendations within one’s specialized sector(s)
• Present investment opportunities across our retail and institutional channels
• Where required, support others within the capital markets team

Skills:

• Minimum 10 years of relevant work experience.
• Undergraduate Degree from an accredited institution.
• Individuals with a global mindset and innovative perspective.
• Ability to deal with ambiguity and change.
• Excellent financial analysis and modeling skills and an ability to perform cash flow, valuation and capital structure analysis.
• Strong knowledge of investment research and trends
• Comprehensive oral and written communication, interpersonal and critical thinking skills
• An ability to work collaboratively in a small, informal team setting or independently with solid prioritization and organizational skills

Compensation:

We offer a competitive salary and group benefits program, and the potential for profit sharing bonuses and equity participation.

Please respond to humanresources@leedejonesgable.com

Sales and Trading

Location: Toronto

Position Summary:

Leede Jones Gable is currently seeking a Sales and Trading professional for our Toronto Office. The successful candidate will report to the Managing Director, Capital Markets.

Key Tasks and Responsibilities include but are not limited to:

• Expertise in sourcing, handling and execution of institutional client orders.
• Develop and maintain institutional relationships
• Sales & Trading support for capital markets and investment banking team.

Skills:

• Minimum 10 years of institutional trading experience.
• Post-secondary education and designation/certifications applicable to working within Capital Markets (CA, CFA, CPA, MBA etc.) is required.
• Relevant experience in Capital Markets or related industry
• Knowledge of Canadian securities regulations for Trading and Capital Markets activity.
• Ability to process and settle transactions.
• Proven ability to work on a team.
• Individuals with a global mindset and innovative perspective.

Compensation:

We offer a competitive salary and group benefits program, and the potential for profit sharing bonuses and equity participation.

Please respond to humanresources@leedejonesgable.com

Investment Banker

Location: Toronto

Position Summary:

Leede Jones Gable is currently seeking an Investment Banker in our Toronto Office. The successful candidate will report to the Managing Director, Capital Markets.

Key Tasks and Responsibilities include but are not limited to:

• Existing corporate client relationships.
• Proficient with documents pertaining to private placements and prospectus offerings.
• Perform rigorous due diligence, including site visits, detailed financial models and comparative analysis based on current industry metrics.
• Building relationship and maintaining direct contact with Syndication departments at Banks and Independent Firms.
• Managing, supervising, and developing other banking team members and associates.
• Existing network of legal contacts.
• Analyzing detailed corporate and financial information.

Skills:

• Minimum 10 years of investment banking experience.
• Post-secondary education and designation/certifications applicable to working within Capital Markets (CA, CFA, CPA, MBA etc.) is required.
• Extensive knowledge of capital markets, investment banking and applicable regulations.
• Highly developed written and oral communication skills.
• Exceptional skills in quantitative analytics and financial modelling.
• Strong interpersonal skills used within a demanding team environment and in client interaction.
• Ability to learn and adapt quickly, solve complex problems, and think creatively to drive optimal client outcomes.
• Ability to review, assess, and provide detailed information daily.
• Excellent capability to independently and proactively service multiple clients.
• Ability to lead others with empathy while generating successful team results.

Compensation:

We offer a competitive salary and group benefits program, and the potential for profit sharing bonuses and equity participation.

Please respond to humanresources@leedejonesgable.com

Executive Sales Assistant

Location: Calgary

• Successful completion of the CSC, the CPH and the 90-day training program
• Industry experience required, ideally in a sales support role: current knowledge of daily market activities a necessity
• Working knowledge of corporate finance activities
• Strong communication and computer skills
• Initiative and well-developed organizational, prioritizing and multi-tasking skills

Compensation:

Base compensation and substantial bonus commensurate with experience

Only qualified individuals need apply.
Email humanresources@leedejonesgable.com

All inquiries will be treated with the strictest of confidence