Compliance Manager

5 days ago

Toronto ON, Canada CI Financial Full time

JOB OVERVIEW

This (1-year contract) role is within the Enterprise Compliance Team and will assist in developing, enhancing, and maintaining our Enterprise Compliance programs, including in respect to reporting, data and analytics, regulatory compliance management and issues management. In this role, the successful candidate is expected to assist in the development of management reporting and assisting senior members of the Global 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 National Instrument rules are adhered to.
  • Create, communicate and maintain policies to reflect new or changing regulatory/ industry standards or corporate developments.
  • Apply policies and regulatory rules appropriately to respond to compliance related inquiries from business units.
  • 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.
  • Support quarterly reporting processes and support the Chief Compliance Officer with internal reporting obligations.
  • Assess various investment strategies for adherence to applicable investment fund rules and regulations.
  • Coordinate the completion of RFP and due diligence questionnaires for CI' s Institutional business.
  • Participates in special projects, as needed.

WHAT YOU WILL BRING

  • Post-secondary education plus CPA or other industry related designations (or working towards);
  • In depth knowledge of the financial industry including investment fund regulations and applicable National Instruments; 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 a must.
  • Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment.

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