- Reporting to the Director, Regulatory and Operations Compliance, you will undertake day-to-day compliance activities related to the Investment Fund Manager (IFM) Compliance business unit
- Your focus will be on NI 81-101/102 Mutual Funds (including liquid alternatives), ETFs, and NI 45-106 Pooled Funds products marketed and distributed to Canadian retail investors (via third party broker/dealer firms and their advisors).
- Daily, hands-on oversight and management of BAU reporting and Compliance activities to ensure all deadlines are met while maintaining fair workload distribution and a positive culture; assisting with various tasks, as required
- Reviewing marketing and sales communications materials to ensure compliance with market conduct and regulatory requirements (including website content, product profile sheets, sales presentations, video commentaries, podcasts, social media posts, etc.)
- Responsible for ongoing updates, maintenance, version management and dissemination of retail marketing disclaimers, including researching and drafting new disclosures as required
- Leading the charge on continuous improvement and enhancement of compliance programs for AML/ATF, Foreign Orders, Sales Practices, Complaints Handling and Back-Office Operations Oversight including policies, procedures and execution of ongoing oversight activities
- Responsible for the creation and maintenance of a Compliance Operations Manual which covers how the various compliance programs are executed, including creation, updates and enhancements to any tools used (e.g. checklists, templates, Excel formulas/functions, etc.)
- Researching, drafting and/or reviewing responses to investor complaints and corresponding with the OBSI regarding escalated complaints, including coordination and review of requested records
- Keeping abreast with regulatory changes, reports and staff notices issued by regulators and updating policies, procedures and monitoring controls accordingly
- Researching and collating requested information for internal and regulatory audits and other third-party requests
- Assisting in the preparation and review of management, board and IRC reporting materials as well as any regulatory reporting, as required
- Other duties and special projects as assigned.
- A minimum of 5 years in regulatory compliance or governance, risk and controls in the financial services industry, ideally on the IFM side
- A minimum of 3 years’ experience managing multiple direct reports
- Certified Anti-Money Laundering Specialist (CAMS) designation or willingness to obtain within 6 months of hire
- Bachelor’s degree or higher supplemented with relevant industry courses (e.g. Canadian Securities Course, Derivatives Fundamentals Course, etc.)
- Advanced Excel skills and general comfort with technology
- Expert understanding and practical experience with the regulatory environments for sales practices, marketing and disclosure requirements in Canada
- Solid knowledge of business operations of the investment funds and asset management industry
- Strong knowledge and understanding of Canadian Securities Laws, regulations and guidance (i.e. NI 81-102, NI 81-105, NI 45-106, OSC Guidance, FINTRAC, AML/ATF, PCMLTFA, PIPEDA, PIPA, PBSA, etc.)
- Strong analytical skills and exceptional attention to detail
- Excellent written and verbal communication skills
- Ability to take ownership and lead projects with a proactive, not reactive, approach; and able to independently drive initiatives to conclusions
- Ability to perform well in a high pressure, time-sensitive environment.
Source: for more information click here.