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| Job Category : | Business |
| Company Name: | Sprott Global Resource Investments Ltd. |
| Position Name: | Compliance Associate |
| Location : | 1910 Palomar Point Way, Carlsbad, CA 92008 |
| Job Description : | Sprott Global Resource Investments Ltd. (“Sprott Global”), a division of Sprott Inc. (“Sprott”),is a full service U.S. brokerage firm providing personalized brokerage services to investors in the natural resource sector. Sprott Global is headquartered in Carlsbad, California and is regulated by the Financial Industry Regulatory Authority. Sprott is based in Toronto and has offices in New York, California, Connecticut, London and Vancouver. Sprott today serves over 200,000 global clients and, as of December 31, 2021, has approximately $20 billion in assets under management. Sprott’s common shares (SII) are listed on the NYSE and TSX.Position DescriptionSGRIL is looking for a highly motivated full-time Compliance Associate to join the Legal and Compliance team in its Carlsbad office. This position will report to Senior Legal Counsel and Senior Compliance Officer, and work in close concert with the Operations team and other departments. The position will be responsible for:Assisting in the administration of the compliance program, compliance testing, and internal audits for three U.S. based affiliates;Assisting with the Anti-Money Laundering and Enterprise Risk Management Audits;Managing the firm’s internal compliance reporting system, Schwab Compliance Technologies through reviewing personal trading pre-approvals and account statements for trading violations;Assisting with regulatory filings, including but not limited to Form PF quarterly updates and Form ADV annual updates;Assisting with updates and reviews of the Policy and Procedures manual and Code of Ethics for each U.S. based affiliate;Manage vendor due-diligence process of all new and existing vendors;Supporting the review, approval, and documentation of all marketing materials;Attending and Assisting with creating agendas, collecting and reviewing data, and maintaining minutes for quarterly Best Execution Committee meetings;Retrieval and logging of compliance reports for various Funds;Administering Medallion STAMPS;Preparing and filing Regulation M 5190 Filings;Managing legal file and document logs;Leading ad hoc compliance-related projects, as assigned, collaborating with other departments and team members;Other duties and projects as assigned.Assisting with compliance testing and enterprise risk management;Preparing Mutual Oversight Attestations;Preparing DDA/Explo Fund Allocation Reports;Preparing materials for quarterly Board meetings.Position RequirementsBachelor’s Degree preferred;Series 7, 66, and 24 FINRA licenses preferred (or a desire and ability to obtain all licenses within one year from date of hire);Experience working in investment or financial services preferred;Experience in area of private placements or limited partnerships preferred;Experience with Microsoft Office suite – especially Microsoft Excel and Word;Excellent communication skills, both written and verbal;Great attention to detail;Knowledge of DocuSign preferred.All candidates who receive an offer of employment from Sprott will be required to provide proof of COVID-19 vaccination unless they have been approved for an accommodation or they will work in a state that does not permit vaccination requirements.To apply for this position, please include a resume with your submission. We thank all applicants for their interest; however, only qualified candidates as determined by Sprott will be contacted. Sprott does not accept unsolicited agency resumes or phone calls.Sprott welcomes and encourages applications from people with disabilities. Please let us know if we can provide accommodations to support your participation in Sprott’s recruitment process.Sprott Global Resource Investments Ltd. and Sprott Asset Management USA, Inc. are Equal Opportunity Employers.Job Type: Full-timeBenefits:401(k)401(k) matchingDental insuranceEmployee assistance programFlexible spending accountHealth insuranceHealth savings accountLife insurancePaid time offVision insuranceSchedule:Monday to FridaySupplemental Pay:Bonus payCOVID-19 considerations:COVID-19 Prevention Program in place.Education:Bachelor’s (Preferred)Experience:Administrative: 1 year (Preferred)Microsoft Office suite: 1 year (Preferred)financial industry: 1 year (Preferred)Work Location: One location |
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