Compliance Manager

4 weeks ago

Toronto Ontario, Ontario, Canada CI Financial Full time

JOB OVERVIEW


This is a 12 month-contract role within the CI Global Asset Management (CI GAM)’s Compliance Team and will assist the Vice President, Compliance in developing, enhancing, and maintaining CI GAM’s Compliance programs. In this role, the successful candidate is expected to contribute to the day-to-day management of compliance programs and related processes including regulatory filings, participate in various ad hoc projects, and support senior members of the Compliance team in administrative and project-related tasks.


WHAT YOU WILL DO

  • Create and document new processes and procedures for new compliance initiatives and controls, ensuring applicable securities laws and regulations are adhered to.
  • Maintain policy and procedures documents to reflect new or changing regulatory/ industry standards or corporate developments as required.
  • Apply policies and regulatory rules appropriately to respond to compliance related inquiries from business units.
  • Coordinate directly with wide range of stakeholders across the organization to gather information and resolve issues, as required.
  • Review and analyze data gathered from various sources, identify issues and trends, and produce summary report for senior management.
  • Manage day-to-day operation of various compliance programs and related processes.
  • Assist in the development of management reporting, including the development and reporting of KPIs and Metrics based existing data and designing systems to collect data.
  • Review and investigate potential and/or actual compliance issues as they arise and escalating issues in alignment with standardized processes and procedures.
  • Assess various investment strategies for adherence to applicable investment fund rules and regulations.
  • Ensure regulatory filings, reporting and compliance deadlines are met including responses to information requests.
  • Advise on compliance matters and support continuous training and education to the business.
  • Participate and assist in ad hoc projects, as needed.


WHAT YOU WILL BRING

  • Post-secondary education
  • Completion or progress toward industry related designations such as CFA, CPA or CSC is considered an asset
  • In depth knowledge of the financial industry including investment fund regulations and applicable National Instruments (e.g. NI 31-103, NI 81-102); and
  • Minimum of 5 years of relevant industry experience in a senior compliance capacity at an investment management firm.
  • Strong communication skills, verbal and written.
  • Superior and versatile analytical skills, capable of advising across a range of compliance matters.
  • Strong technical skills including MS Office, experience with MS Excel is a must.
  • Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment.

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