Regulatory Affairs and Policy

1 week ago

Toronto ON, Canada Global X Canada Full time

We are looking for an AVP, Compliance to join our dynamic team in the Canadian and Global ETF Market. Reporting to the Chief Compliance Officer, the successful candidate will be an important member of the Global X compliance team and be responsible for enhancing the firm’s compliance program. This role collaborates closely with the investment management, sales, marketing teams and various other departments to foster and maintain a culture of compliance.

Global X is an innovative financial services company with one of the largest suites of exchange traded funds in Canada. The Global X product family includes a broadly diversified range of solutions for investors of all experience levels to meet their investment objectives in a variety of market conditions. Global X currently has more than $37 billion of assets under management and 134 ETFs as at October 31, 2024 listed on major Canadian stock exchanges. Global X is a wholly owned subsidiary of the Mirae Asset Financial Group, which manages approximately $800 billion of assets across 13 countries around the world.

Assisting in the firm’s compliance with securities legislation, as well as compliance with internal policies and procedures.
Implement and draft policies and procedures for assessing the compliance of the firm and those acting on its behalf.
Take a commercial and pragmatic approach to managing compliance risk.
Participate in the creation of a compliance plan, and participation in the oversight and support of activities to ensure compliance and take remedial action when necessary.
Maintain a high level of awareness and knowledge of regulatory compliance developments and industry best practices to provide ongoing and proactive support to the business in relation to new and existing products and business initiatives.
Ensure issues are escalated to the appropriate stakeholders, including to the Chief Compliance Officer.

Contribute to other areas of compliance including the monitoring of sales and marketing materials and sales practices.
Strong investment management compliance experience.
Participate in the compliance reporting to the board of directors and Independent Review Committee.
Timely and accurate submission of regulatory reporting and filings, including requests from regulators.
Collaborate with compliance departments throughout the Mirae Asset global ETF business.

Experience in a mid-level to senior position of the compliance department of an investment fund manager.
Compliance experience with an ETF manager is an asset.
Experience using the National Registration Database is an asset.
Compliance experience pertaining to investment management compliance and sales practices.
Proactive leader with ability to organize, prioritize and manage multiple responsibilities to multiple stakeholders simultaneously in a deadline and data driven environment.
Highly effective in forging working relationships with team members, senior leaders and external partners.

All employment decisions at Global X are based on business needs, job requirements and individual qualifications, without regard to sexual orientation, gender identity, race, religion, colour, age, marital status or disabilities. We welcome and encourage applications from people with disabilities. During the hiring process, for those job applicants selected for interviews, any required accommodation will be provided.

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