Compliance Specialist
Compliance Specialist
Posted on :
08-07-2025
Employer Active
1 Vacancy
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Job Description
- Conduct ongoing compliance monitoring activities of mutual fund registrants at either a Tier 1 or 2 level
- File NRD registration applications notices and terminations
- Assist with the creation and updates of policy and procedures manual
- Work with the dealers Investment Product Committee to fulfil its KYP obligations
- Review marketing materials and co-operative marketing requests
- Maintain appropriate paper and electronic records
- Occasionally travel to branches to conduct reviews interviews and/or training
- Keep abreast of changes to compliance procedures firm policies compliance manuals and rules
regulations and requirements of securities regulatory authorities - Work to continually improve product and compliance knowledge by completing industry courses
participating in seminars workshops and conferences proactively reading internal publications
industry news and media releases and sharing information and ideas with team members. - Travel to various offices to perform reviews
- Other miscellaneous duties and special projects as assigned
Qualifications :
Education & Experience
- Post secondary degree or diploma in business or finance
- 5 years experience in the securities industry and regulatory environment (preferred)
- Industry courses (IFIC/CSC Branch Managers Course and/or Partners Directors and Senior
Officers) or willing to complete within a short time frame
Technical Knowledge
- Diligent with strong time management and organization skills
- Sharp attention to detail
- Compelling verbal and written communication skills
- Advanced working knowledge of MS Office (Excel PowerPoint SharePoint and Word)
Skills & Abilities
- Strong attention to detail.
- Strong verbal and written communication skills.
- Strong time management and organization skills.
- Strong listening skills & the ability to follow through.
- Must have exceptional problem-solving skills.
- Excellent customer-focused attitude with the ability to build collaborative working relationships and commitment to providing extraordinary service to high-net-worth clients.
- Advanced organizational skills adept at managing and prioritizing multiple tasks with competing deadlines.
- An ability to adapt quickly to changing needs and work requirements.
Additional Information :
Comprehensive health dental and vision benefits
Health & Wellness Spending Account
4% Matching RRSP allocation
Great workplace culture!
Remote Work :
No
Employment Type :
Full-time
Employment Type
Full-time
Department / Functional Area
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