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Distribution Compliance

2 months ago

Toronto Ontario, Ontario, Canada Compunnel Inc. Full time

Distribution Compliance


Important Note:

This role is a Compliance analyst which is focused on distribution compliance – the candidate will be reviewing sales communications and marketing materials for multiple lines of business (retail business, high net worth, global team)

  • Main responsibilities is reviewing sales marketing materials, review marketing presentations, fact sheets, RFP, RFI, etc.
  • College/university – economic and finance background would be preferred. To refer marketing material you read through and understand what provide comments to change it. Need understanding of what material is saying.
  • CSC designation would be a nice to have
  • Ideal candidate – needs compliance experience, security knowledge, can provide comments on distribution side of compliance
  • Working on team of 4 people in Canada. Globally there is 10 people (will collaborate with the global team as well)


Role:

Compliance Analyst focused on distribution compliance, responsible for reviewing sales communication and marketing materials across institutional, retail, and high-net-worth business segments.


Key Responsibilities:

  • Reviewing sales communication and marketing materials to ensure compliance with regulatory standards.
  • Providing guidance and feedback on marketing materials, Requests for Proposals (RFPs), and Requests for Information (RFIs).


Requirements:

Experience in compliance and distribution, particularly in financial services.

Familiarity with the Canadian regulatory environment, including knowledge of regulations such as NI 31-103 and NI 81-105.

Knowledge of mutual funds is preferred.