Compliance Analyst

4 days ago

Toronto, Canada Compunnel Inc. Full time

Description:

The Compliance Analyst IV will be responsible for the review of sales, marketing materials, and other communications. This role will support client Investment Management institutional, high net worth and retail business lines pursuant to clinet IM Global Communications Policy and Guidelines; as well as applicable Canadian regulatory requirements and advise business partners to ensure material is compliant. The Compliance Analyst IV will provide independent reviews of marketing materials and act a key advisor to the business as it pertains to NI 81-102 and internal client policies and standards. The

Compliance Analyst IV will also participate in project working groups pertaining to product launches and product changes.

In addition, the Analyst provides advice to the business on their marketing and distribution activities in the context of the Canadian regulatory environment as well as any potential cross-border implications in the context of the global organization. Reviews will include but are not limited to; investment strategy presentations, private fund presentations, fund pitch books and other materials; fact sheets, RFP’s/RFI’s, social media, web content and other such materials which may include both print and digital formats. In addition, the Analyst will be responsible for tracking global industry best practices with a focus on continuous improvement.

Key Accountabilities:

  • Support the development, implementation, and maintenance of CWAM Distribution Compliance-related policies and procedures that enable the firm to remain in compliance with regulatory requirements.
  • Review of marketing materials (including advertisements, presentations, website pages, brochures, articles, social media) to confirm the compliance with National Instrument 81-102 and internal client Investment Management guidelines and policies.
  • Work with the PMs/ sales and product teams on new strategies/ products/ distribution method and value-added service to provide risk-based compliance analysis and guidance to facilitate business initiatives.
  • Monitor and stay abreast of distribution-related regulations and assess the impact to sales, marketing, and other communications materials.
  • Create and conduct compliance training and consultation regarding the regulatory requirements and internal policies to related stakeholders as needed.
  • Support the institutional side of the distribution compliance team projects, such as ESG, GIPS, automotive review initiatives and participate in other projects to support the compliance team and business partners as necessary.
  • Provide advice to firm personnel regarding distribution compliance related matters.
  • Act as an individual contributor, set direction, establish goals and manage the tasks assigned.
  • Be capable of handling advanced compliance work.
  • Share best practices with other team members, thus ensuring consistency in the way business/process/products are developed and maintained to in compliance with regulatory and company requirements.
  • Collaborate with all areas of the organization to ensure compliance needs and business goals are met.
  • Assist team members with tasks and assignments as needed.
  • Establish and maintain strong working relationships with the business units.
  • Participate in industry forums/working group to stay current on regulatory trends and up to date with industry peer standards.


Requirements/Skills:

  • College/University Degree and/or equivalent experience.
  • 3-5 years of related financial services, compliance, or management experience. Relevant work experience in Canada Mutual Fund industry.
  • Familiarity with NI 81-102 and Canada Securities Law, and a working knowledge of NI 31—103, NI 81-105, NI 81-106 and NI 81-107 requirements related to investment funds and applicable securities regulations.
  • Be well organized and able to handle a high volume of requests and inquiries from various business departments and deliver within tight timelines.
  • This position requires an in-depth understanding of the mutual fund industry and its operational supporting functions, and a strong knowledge of compliance and applicable regulatory requirements for Investment Fund Manager, Portfolio Manager and Commodity Trading Manager categories of registration.
  • Proactive and self-motivated with strong problem-solving abilities and the ability to effectively prioritize in a diverse and fast paced environment.
  • Strong written and verbal communication skills and organizational skills, with a positive attitude and proven ability to negotiate and influence others to obtain desired results.
  • Strong technology skills including knowledge of applicable compliance or business systems.
  • Strong ethical compass.
  • Comprehensive knowledge of the financial services industry.
  • Advanced understanding of the regulatory environment in which the Company operates and a strong understanding of key compliance requirements applicable to the business.
  • Ability to work independently.
  • Ability to facilitate decision making across groups in the company.
  • Ability to embrace change, strong change management skills.
  • Ability to analyze technical information, make appropriate recommendations to decision makers and ability to make decisions.

  • Compliance Analyst

    3 weeks ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As

  • Compliance Analyst

    2 weeks ago

    Toronto, Ontario, Canada beBee Professionals Full time

    Job Title: Compliance AnalystLocation: Toronto, CanadaCompany: beBee ProfessionalsJob Description:We are looking for a Compliance Analyst to join our team at beBee Professionals in Toronto. The Compliance Analyst will be responsible for ensuring that the company is compliant with all applicable laws and regulations. The successful candidate will be expected...

  • Compliance Analyst

    2 weeks ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    2 weeks ago

    Toronto, Ontario, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    3 weeks ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    3 weeks ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    3 weeks ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • IT Compliance Analyst

    2 weeks ago

    Toronto, Canada nnovativ inc Full time

    **nnovativ** provides technology staffing and Digital Transformation Services for private and public sector organizations. We are currently seeking a IT Compliance Analyst for our Private Sector client. We value our professionals by providing comprehensive benefits and the opportunity for growth. This is a 12 month contract position with a possibility of...

  • Compliance Analyst

    3 weeks ago

    Toronto, Canada Pala Interactive Full time

    **Pala Interactive** is a full-service, real-money and social gaming technology provider and operator. Pala offer a full spectrum of games across all distribution channels (web, download, tablet & smartphone) which include casino, poker and bingo for real money and social gaming. **Overview** Pala Interactive is looking for a Compliance Analyst to work in...

  • Compliance Analyst

    3 weeks ago

    Toronto, ON, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    3 weeks ago

    Toronto, ON, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    3 weeks ago

    Toronto, Ontario, Ontario, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    3 weeks ago

    Toronto, Canada Sun Life Full time

    You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll...

  • Compliance Analyst @toronto, On

    3 weeks ago

    Toronto, Canada Atlantis IT group Full time

    **Role: Complaince Analyst** **Location: Toronto, ON** **Duration: Long term** **Description**: Organization NextGen environment is currently looking for a Compliance Analyst/Engineer for our SOC2 Certifications (Type 1 and 2) for our Service Offerings. NextGen Cloud provides a highly secure platform which provides differentiation across a Global platform...

  • Compliance Analyst/Officer

    1 month ago

    Toronto, Canada CB Canada Full time

    Compliance Analyst/Officer On behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Analyst/Officer. Compliance Analyst/Officer – Job Description The Global Compliance Department is responsible for overseeing Regulatory Compliance across enterprise in accordance with the Global Compliance Framework This includes ensuring that...

  • Compliance Analyst, Monitoring

    2 weeks ago

    Toronto, Ontario, Canada S I Systems Full time

    Intermediate AML Analyst to conduct compliance investigations and transaction monitoring for a large banking client Our large banking client is looking for an Intermediate AML Analyst to conduct compliance investigations and transaction monitoring. Please note This role is a hybrid working model with 4 days in the office, located downtown Toronto. 3+...

  • Compliance Analyst IV

    1 day ago

    Toronto, Canada Compunnel Inc. Full time

    Job Title: Compliance Analyst IVThe Compliance Analyst IV will be responsible for the review of sales, marketing materials, and other communications. This role will support Investment Management institutional, high net worth and retail business lines pursuant to Global Communications Policy and Guidelines; as well as applicable Canadian regulatory...

  • Compliance Analyst

    4 weeks ago

    Toronto, Canada Ontario Teachers' Pension Plan Full time

    The opportunity The Compliance Department’s vision is to be a trusted partner and advisor to help Teachers’ business divisions effectively balance risk, regulatory compliance, and related best practices in accordance with Ontario Teachers’ risk tolerance and to help build a sustainable culture of compliance. The Compliance Analyst will primarily...

  • Compliance Analyst

    2 weeks ago

    Toronto, Ontario, Canada Ontario Teachers' Pension Plan Full time

    The opportunityThe Compliance Department's vision is to be a trusted partner and advisor to help Teachers' business divisions effectively balance risk, regulatory compliance, and related best practices in accordance with Ontario Teachers' risk tolerance and to help build a sustainable culture of compliance.The Compliance Analyst will primarily focus on the...

  • Analyst, Compliance

    4 weeks ago

    Toronto, Canada BentallGreenOak Full time

    **Analyst, Compliance** **1 York | Toronto, ON** **Who We Are**: BentallGreenOak is a leading, global real estate investment management advisor and a globally-recognized provider of real estate services. BentallGreenOak serves the interests of more than 750 institutional clients with expertise in the asset management of office, industrial,...