Compliance Analyst

3 days ago

Canada, CA 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.

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