Compliance Officer Institutional
Compliance Officer Institutional
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Job Description
Full Time Contract 18 months)
Location: Calgary AB or Toronto ON
Be Boring. . is our investment approach but we are anything but dull. We are a diverse passionate team united by our commitment to provide our clients with financial peace of mind and our desire to create one of the best companies in the world. A career with us will be demanding; however the experience will also be dynamic supportive intellectually stimulating and above allmeaningful. We take pride in doing things a little differently than other investment firms. Innovative ideas diverse opinions and experiences and teamwork are expected and rewarded regardless of title or tenure.
The Opportunity
Mawer Investment Management isseeking an experienced compliance professional to support our on our Institutional Client Compliance program. This is an excellent opportunity to apply your experience at a top Canadian and global investment management firm committed to growing its global business.
The primarily responsibility for this role is to assist our institutional business by providing and maintaining compliance for business development onboarding and client relationship management and reporting activities for Canadian and US clients.
The Compliance Officer Institutional reports to the Deputy Chief Compliance Officer.
Role Responsibilities
- Compliance oversight of business development onboarding and ongoing institutional client relationship management activities
- Review business development activities and approve marketing and prospecting collateral
- Review client onboarding/change documentation in a timely manner
- Perform trade supervision of institutional clients using SimCorp Dimension and inhouse tools
- Maintain institutional client restrictions in SimCorp Dimension
- Oversee compliance certification and institutional client reporting
- Assist with U.S. regulatory filings such as Form ADV and Form PF
- Conduct electronic communications monitoring and testing
- Conduct and enhance testing program to assess compliance with policies and procedures and relevant rules and regulations set out by the firms policy manuals and applicable securities laws regulations and other legislation in Canada and the U.S.
- Update policies and procedures; implement and document related process or procedure changes
- Interpret new and updated regulatory/compliance requirements related to asset management activities and implement into business processes within required deadlines
- Proactively provide compliance advice and trainings to the Institutional team and continuously improve processes and workflows
- Support the Legal Risk & Compliance team overall and provide backup for the other members of the team
Desired Qualifications
- Minimum 35 years experience in compliance preferably at a portfolio manager/investment manager/exempt market dealer firm in Canada
- University degree or college diploma in any of the following: finance accounting economics mathematics or other relevant specialization
- CFA or progress towards the charter would be an asset
- Experience with pretrade compliance monitoring in order management systems such as SimCorp Dimension or Charles River
- Experience with Salesforce email monitoring and global shareholder disclosure monitoring
- Working knowledge and understanding of the securities regulations in Canada and the U.S.
- Proven competencies in data analysis of security and issuer data
- Strong understanding of investment operations activities (e.g. trade and settlement)
- Demonstrates project management critical thinking interpersonal and communication skills
- Ability to interpret new regulatory requirements and implement changes to business processes
- Ability to work independently think critically multitask and make decisions in a fastpaced environment
- Strong organization and prioritization skills with exceptional attention to detail
- Ability to focus independently and contribute effectively as part of a team
Why Mawer
- Directly contribute to the firms growth as a global independent investment manager.
- Learn and work within a highperforming team that has consistently delivered exceptional longterm investment results and high levels of client satisfaction.
- Be a part of a meritocracy in which the quality of ideas supersedes hierarchy; where every role is valued and every voice heard. At Mawer talented team members can progress quickly regardless of tenure or experience.
- Our unique culture which is integral to who we are and (we think) a competitive advantage. Our culture is shaped by our core values (integrity putting clients interests first excellence teamwork and longterm thinking) and key behaviours (curiosity candour accountability and appreciation) which are much more than words on a page. They guide the way we operate make decisions and communicate every day.
- We offer a flexible work environment with a blended workplace approach tailored to the unique needs of each department and team. This allows employees to seamlessly combine inperson and remote work experiences fostering collaboration promoting worklife integration and empowering our team members to thrive in a dynamic interconnected professional setting.
Our Benefits and Perks Include:
- Comprehensive health and wellness benefits
- Unlimited vacation days
- Significant community investment contribution via our Employee Matching Program
To apply please submit your resume cover letter and application by May 12th 2025 at: candidates must be eligible to work in Canada. Only applications that include all required materials will be considered.
At Mawer we are committed to fostering a culture of diversity and inclusion. We strive to attract hire develop and retain the best people from a wide variety of backgrounds/experiences and create an environment where unique ideas and perspective are heard and valued. We believe a diverse and inclusive culture fuels innovation and enables more effective decisionmaking across the firm helping to improve investment performance strengthen client partnerships and create more value for all stakeholders: clients employees owners and society.
We administer all practices and programs without discrimination and strive to provide equal access to employment. A Human Resources representative will work with applicants who request accommodation or special assistance during the application process. If you need accommodation or assistance please contact us at .
We believe experience comes in many forms and were committed to adding new perspectives to our team. If your experience is close to what weve outlined we encourage you to apply.
About Mawer
Established in 1974 Mawer Investment Management Ltd. is an independent firm that provides worldclass global investment management services to a broad range of institutional and individual clients. We are proud of our reputation as one of Canadas most respected investment management firms and strive to earn such respect by continually delivering longterm investment excellence developing strong client partnerships and living our core values.
No telephone inquiries please.
We thank all applicants and advise that only those selected for an interview will be contacted.
Required Experience:
Unclear Seniority
Employment Type
Full-Time
