Culture

Elevating investment banking isn’t only about our clients. Though we know our approach makes for a better client experience, it’s also about making sure Fort Capital fosters an environment in which our team can thrive, personally and professionally. In our business, the hours can be long; we spend a lot of time here, and together. So we go to great lengths to ensure that it feels like a comfortable, kind and even fun place to be. Everyone talks about our offices, which feel a bit like a coworking space, a bit like a newsroom, a bit like the kitchen in a high-end home (the kind with beer and wine on tap). What it doesn’t feel like is a bank, or a boiler room. It’s a place people gather, not because they have to but because they want to. Which is exactly what we had in mind.

Partnership Opportunities

Fort Capital was founded by investment bankers who did their time at the big banks, and knew there had to be a better way. So they created it. If our Brand Story resonates with you—if you too are looking for something, and somewhere, better for the next phase of your investment banking career—you might be a good fit at Fort. We’re always looking for experienced experts with an entrepreneurial spirit to join our ranks as partners. Reach out to our leadership team.

Current Openings

If Fort Capital sounds like the kind of place you belong, please get in touch. You can apply for one of the postings below, or reach out to us at our Vancouver, Calgary, or Toronto office.

Summary

Overall responsibility for the compliance function for Fort Capital Securities Ltd., an Exempt Market Dealer (EMD) registered with the securities commissions and regulatory bodies of British Columbia, Alberta, Saskatchewan, Manitoba, Ontario, and Quebec. The Chief Compliance Officer (CCO) is responsible for discharging FCSL’s obligations under securities acts put in place by such commissions and regulators, including the maintenance of an effective compliance system.

 

Primary Responsibilities

  • Reporting to the Board and the UDP, the CCO’s primary responsibility is to ensure compliance with securities regulations by the firm and its employees.
  • Establish and maintain effective supervision and control of the firm’s activities and the firm’s policies and procedures.
  • Manage the firm’s compliance monitoring and reporting according to the policies and procedures.

 

General Responsibilities

  • Managing the process of maintaining and updating Dealing Representatives within the National Registration Database (NRD) system.
  • Maintaining and updating of the Policies and Procedures Manual, including having it approved and distributed as necessary, and implementing its contents.
  • Annual training to FCSL Registered Dealing Representatives and other Fort Capital team members.
  • Complete and present annual Chief Compliance Officer report to the Board, advising of the adequacy of the policies, procedures, and controls in place, and advising of any unresolved issues.
  • Review any material conflicts of interest that may affect Clients.
  • Review and approval of new Client accounts, ensuring that know-your-client (KYC) and know-your-product (KYP) documentation is complete and that the recommendations of Dealing Representatives are suitable for the Client’s investment circumstances.
  • Review and approve the firm’s working capital adequacy.
  • Review and approve personal trading activity, to prevent conflicts of interest and appropriate treatment of material non-public information.

 

Engagement Oversight

  • Approve the terms and acceptability of all issuer engagements by the EMD.
  • Ensure required regulatory documentation is completed for each Client and issuer (account opening, KYC, KYP, subscription agreements, trading confirmations, etc.)
  • Review and approve all marketing materials.
  • Reviewing, responding, and investigating Client complaints.

 

Audit / Review Oversight

  • Ensure satisfactory completion of any audits and reviews by securities commissions and regulatory bodies, including implementing any recommendations or requirements for new or enhanced policies, procedures, and practices.

 

Opportunity

  • This is a part-time role. Hours may vary and will be agreed with the successful candidate.
  • Compensation will also be agreed with the successful candidate dependent on scope and hours.
  • The CCO would ideally be located in one of the three cities where FCSL has offices (Vancouver, Calgary, Toronto), but may also work remotely from another location with sufficient travel to each office to enable compliance oversight.

 

To discuss this opportunity with us, please submit your resume and cover letter to morna.sileika@fortcapital.ca, with “Fort Capital Securities Ltd. Chief Compliance Officer” in the subject line of the email.

Summer Student & Co-op Analyst Application

Fort Capital welcomes Summer Analysts in each of our offices from May to August every year. These positions often give aspiring bankers their first real look at the business and provide valuable resources to our teams. The recruiting cycles vary from office to office, so interested applicants should refer to their University’s career websites.

 

Vancouver

Co-op Investment Banking Analyst positions are also available for both Fall (September to December) and Winter (January to April) terms each year.

Applications for Fall 2022, Winter and Summer 2023 are now closed. Applications for the Fall 2023 term will be evaluated in the Spring.

 

Toronto

Applications for Summer 2023 will be open in October 2022.