Regulatory Affairs and Policy Expert
6 days ago
We are seeking an experienced Compliance Officer to join our team in the Canadian and Global ETF Market.
About UsGlobal X is an innovative financial services company with a diverse range of exchange-traded funds. With over $37 billion in assets under management, we offer a variety of investment solutions for investors of all experience levels.
Job DescriptionThe successful candidate will report directly to the Chief Compliance Officer and be responsible for enhancing our compliance program. This role involves collaborating closely with various teams, including investment management, sales, and marketing, to maintain a culture of compliance.
A key aspect of this role is assisting in the firm's compliance with securities legislation and internal policies. The ideal candidate will have a commercial and pragmatic approach to managing compliance risk, as well as strong investment management compliance experience.
- Assist in developing and implementing policies and procedures for assessing compliance;
- Take a proactive approach to identifying and mitigating compliance risks;
- Maintain awareness of regulatory developments and industry best practices;
- Collaborate with other compliance departments within the Mirae Asset global ETF business;
The ideal candidate will have experience in a mid-level to senior position of a compliance department, preferably in an investment fund manager. Strong knowledge of the National Registration Database and compliance experience with ETF managers is an asset.
Requirements- 5+ years of experience in compliance, preferably in an investment fund manager;
- Strong understanding of regulatory requirements and industry best practices;
- Excellent communication and interpersonal skills;
- Ability to prioritize multiple tasks and manage deadlines;
- Proactive approach to identifying and mitigating compliance risks;
The salary range for this position is between $120,000 - $160,000 per year, depending on experience.
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