Manager, Compliance

7 months ago

London, Canada Canada Life Assurance Company Full time

**Job Description**:
The Manager, Compliance is responsible for driving and maintaining compliance processes and deliverables for the Investment Fund Manager, Canada Life Investment Management Ltd. (CLIML). CLIML is registered as an investment fund manager, portfolio manager and commodity trading manager. Its primary regulator is the Ontario Securities Commission. CLIML is the manager of the Canada Life Mutual Funds.

**Initially, activities will fit within three broad areas**
- CLIML Compliance Program & Control Testing
- Regulatory Review, Policy and Procedure Development, Projects
- CLIML Regulatory Registration

**Accountabilities**
- Manage administration and submission of existing and new CLIML firm and individual registrations with provincial regulators. Including preparing investment/registered representative registrations, renewals of registration, terminations, and amendments.
- Manage and oversee CLIML financial reporting requirements to primary regulator, including quarterly filings and annual fee submissions.
- Assist with compliance review on projects, including review and analysis of fund changes, transactions and continuous disclosure.
- Assist with compliance oversight of portfolio manager activities and oversight of Constellation Program.
- Support preparation of materials for Independent Review Committee and Board, as required.
- Assist with the annual control testing plan for CLIML key processes and report to senior management on the results of testing.
- Assist in the development of procedure and control documentation as part of CLIML’s Regulatory Compliance Framework.
- Remain up to date with regulatory environment and upcoming changes to ensure that policies and procedures are kept current.

**Qualifications and Competencies**
- 5+ years of compliance related experience, preferably with an entity registered with a securities regulator.
- University degree in a related field.
- CPA or CFA designation is an asset.
- Comprehensive knowledge of the following National Instrument (NI) securities regulations is an asset: NI 31-103, NI 81-101, NI 81-102, NI 81-105, and NI 81-106. This includes a high degree of familiarity with investment fund rules, prospectus documents, and monitoring fund compliance.
- Strong project management skills.
- Ability to understand and successfully navigate a matrixed organization.
- Proven ability to build and maintain strong internal and external relationships at all levels.
- Results driven.
- Capable of prioritizing competing tasks to ensure timely delivery of projects.
- Possess a high degree of analytic and problem-solving skills.

**_ Given the size and scope of our organization, we have the flexibility for this position to be located in the following head office locations: Toronto, London, Winnipeg._**

**Be your best at Canada Life

Being a part of Canada Life means you have a voice. This is a place where your unique background, perspectives and talents are valued, and shape our future success.

You can be your best here. You’re part of a diverse and inclusive workplace where your career and well-being are championed. You’ll have the opportunity to excel in your way, finding new and better ways to deliver exceptional customer and advisor experiences.

***

Together, as part of a great team, you’ll deliver on our shared purpose to improve the well-being of Canadians. It’s our driving force. Become part of a strong and successful company that’s trusted by millions of Canadians to do the right thing.
- Canada Life serves the financial security needs of more than 13 million people across Canada, with additional operations in Europe and the United States. As members of the Power Financial Corporation group of companies, we’re one of Canada’s leading insurers with interests in life insurance, health insurance, investment and retirement savings. We offer a broad portfolio of financial and benefit plan solutions for individuals, families, businesses and organizations._
- We are committed to providing an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of the communities in which we live, and to creating an environment where every employee _
- has the opportunity to_
- reach their potential._
._

**_
Canada Life would like to thank all applicants, however only those who qualify for an interview will be contacted_**.

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