- Development and execution of a Canada centric compliance monitoring and testing program, and/or development and execution of action plans for regularly performed compliance oversight programs/tasks. Tasks performed are generally of moderate scope and/or complexity
- Provision of routine guidance to business unit partners based on Firm policies and procedures
- Participation in risk assessment exercise
- Planning compliance reviews, testing and/or monitoring by meeting with business unit management, documenting the control environment, and preparation for the compliance review
- Execution of compliance reviews, testing, special projects and/or monitoring compliance of Business Units as requested by compliance management. Reviews include completing the compliance review programs, documenting control weaknesses or inefficiencies, and managing the compliance review within given time frames
- Employee Education – Under the direction of the Chief Compliance Officer, prepare and provide presentations to employees regarding relevant policies (i.e. Code of Ethics, insider trading), and legislation (i.e. anti-money laundering, NI 81-102) and communicate any changes to such policies and legislation as necessary
- Work with Business Units to draft, update and coordinate policies required to ensure adherence to Regulatory requirements and Firm policies and procedures.
- Research impact of new legislation from a compliance perspective.
- Post-Secondary Degree or equivalent experience.
- At least 5 years of experience in the mutual fund/investment management industry with related compliance/regulatory background.
- Completion of Canadian Securities Course/IFIC MF Course/MF Branch Manager Course.
- Excellent communication skills.
- Proven ability to multi-task in a fast-paced environment.
- Excellent organizational skills, attention to detail, flexibility and commitment to follow through.
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