Compliance Associate

4 weeks ago

Winnipeg, Manitoba, Canada Value Partners Investments Full time
Job Title: Senior Compliance Associate

We are seeking a highly skilled Senior Compliance Associate to join our team at Value Partners Investments. As a key member of our compliance team, you will play a critical role in ensuring that our operations are in compliance with regulatory requirements and industry standards.

Key Responsibilities:
  • Conduct ongoing compliance activities for mutual fund operations, including reviewing and analyzing financial statements, trading activity, and other relevant data.
  • Assist with the preparation and filing of regulatory documents, such as the Prospectus, Annual Information Form, and Fund Facts.
  • Review and approve marketing materials and co-operative marketing requests to ensure compliance with regulatory requirements.
  • Assist with the review of account opening documents for discretionary managed accounts to ensure compliance with regulatory requirements.
  • Collaborate with the business development team to service advisors and other clients, providing guidance on compliance matters.
  • Maintain accurate and up-to-date records of compliance activities, including documentation of all interactions with clients and regulatory bodies.
  • Stay up-to-date with changes to regulatory requirements, industry standards, and firm policies, and provide guidance to colleagues on compliance matters.
Qualifications:
  • University degree or college diploma in a relevant field, such as business, finance, or law.
  • Canadian Securities Course/Wealth Management Essentials/CFP or PFP designation.
  • Knowledge and experience in the securities industry and regulatory environment, with a strong understanding of regulatory requirements and industry standards.
Technical Skills:
  • Advanced knowledge of MS Office, including Excel, Outlook, PowerPoint, and Word.
  • Excellent writing and communication skills, with the ability to clearly and concisely communicate complex compliance information to colleagues and clients.
  • Experience working with portfolio management software and other relevant systems.
What We Offer:
  • Comprehensive health, dental, and vision benefits.
  • Health and Wellness Spending Account.
  • 4% Matching RRSP allocation.
  • A great workplace culture with opportunities for professional growth and development.

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