Senior Compliance Officer
$55,000–$95,000 year
On-siteToronto, Ontario, Canada
Toronto, Ontario, CanadaOn-siteFull Time$55,000–$95,000 yearSenior LevelMedium
Full TimeSenior LevelMedium
Job Summary
Coordinate directly with stakeholders across the organization to resolve compliance issues and apply regulatory rules to inquiries. Assist in creating documentation for new processes, policies, and guidelines to reflect changing National Instrument standards. Support the review of all product, wholesaling, and sales communications materials for adherence to policies and regulations. Maintain sales practices and communication checklists for retail and institutional sales while supporting training content development. Participate in special projects as needed and assess internal controls for effectiveness.
Required Qualifications
- Post-secondary education
- Canadian Securities Course (CSC)
- Conduct and Practices Handbook (CPH)
- Thorough working knowledge of National Instruments 81-102
- Thorough working knowledge of National Instruments 81-105
- At least 3 years working experience in a mutual fund manager compliance department
- In depth knowledge of the financial industry including investment fund regulations and applicable National Instruments
- Strong communication skills, verbal and written
- Proficient in understanding, identification, and assessment of internal controls for the purposes of assessing the effectiveness of their design
- Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment
- In office work model
- Onsite four days per week
Desired Qualifications
- Experience in Salesforce
- Experience in Concur
- Experience in Tableau software
- Experience in providing training to a large group of Sales staff
- Superior and versatile analytical skills, capable of advising across a range of compliance matters
- Post-secondary education plus Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH) or other industry related designations an asset
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