Compliance Manager

7 days ago

Toronto, Ontario, Canada CI Financial Full time
Job Overview

This is a 12-month contract role within the Compliance Team at CI Financial and will assist the Vice President, Compliance in developing, enhancing, and maintaining CI Financial'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.

Key Responsibilities
  • Create and Document Compliance Processes: Develop and maintain policies and procedures for new compliance initiatives and controls, ensuring applicable securities laws and regulations are adhered to.
  • Maintain Policy and Procedure Documents: Update policy and procedures documents to reflect new or changing regulatory/industry standards or corporate developments as required.
  • Apply Policies and Regulatory Rules: Apply policies and regulatory rules appropriately to respond to compliance-related inquiries from business units.
  • Coordinate with Stakeholders: Coordinate directly with a wide range of stakeholders across the organization to gather information and resolve issues, as required.
  • Analyze Data and Produce Reports: Review and analyze data gathered from various sources, identify issues and trends, and produce summary reports for senior management.
  • Manage Compliance Programs: Manage day-to-day operation of various compliance programs and related processes.
  • Develop Management Reporting: Assist in the development of management reporting, including the development and reporting of KPIs and Metrics based on existing data and designing systems to collect data.
  • Review and Investigate Compliance Issues: Review and investigate potential and/or actual compliance issues as they arise and escalate issues in alignment with standardized processes and procedures.
  • Assess Investment Strategies: Assess various investment strategies for adherence to applicable investment fund rules and regulations.
  • Ensure Regulatory Filings: Ensure regulatory filings, reporting, and compliance deadlines are met, including responses to information requests.
  • Advise on Compliance Matters: Advise on compliance matters and support continuous training and education to the business.
  • Participate in Ad Hoc Projects: Participate and assist in ad hoc projects, as needed.
Requirements
  • Post-Secondary Education: Post-secondary education is required.
  • Industry-Related Designations: Completion or progress toward industry-related designations such as CFA, CPA, or CSC is considered an asset.
  • Financial Industry Knowledge: In-depth knowledge of the financial industry, including investment fund regulations and applicable National Instruments (e.g., NI 31-103, NI).
  • Relevant Industry Experience: Minimum of 5 years of relevant industry experience in a senior compliance capacity at an investment management firm.
  • Communication Skills: Strong communication skills, verbal and written.
  • Analytical Skills: Superior and versatile analytical skills, capable of advising across a range of compliance matters.
  • Technical Skills: Strong technical skills, including MS Office, experience with MS Excel is a must.
  • Ability to Multi-Task: Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment.

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