Mutual Fund Compliance Officer Tier 2

4 days ago

Markham, Canada Amerity Wealth Management Inc. Full time

We are a mutual fund dealer registered with the MFDA.

Compliance Officer will be responsible for conducting day-today compliance issues that arises during transactions, trading, or handling of client's accounts. Compliance Officer are key role to assist the Chief Compliance Officer to implement the firm's policies and procedures to all representatives.

Key Responsibilities:

- Perform daily supervisory duties as per policies of the MFDA and the dealer.
- Monitor compliance.
- Testing compliance with regulatory requirements in accordance with the examination program.
- Ensure that policies and procedures and supervisory standards are maintained by Branch Managers at assigned branches.
- Provide trainings for the representatives and supervisory staff with respect to the policies and procedures set by the Dealer.
- Conducting reviews and interviews with branch managers, supervisory staff and representatives at different branches.
- Preparing reports that document any identified deficiencies and work with the branch supervisory staff to establish required actions to resolve the deficiencies.

**Education**:

- Must have mutual fund license for more than 2 years.
- Must have branch manager license for more than 2 years.
- Post-secondary degree or diploma in business, finance, economics or other related discipline.

**Experience**:

- 2-5 years of experience in the compliance, regulatory and audit function.
- Strong knowledge of the mutual fund industry, current regulatory rules, policies and procedures and industry guidelines as they relate to branch audits and best practices.
- Excellent oral and written communication skills.
- Excellent organizational and time management skills and the ability to work independently to meet deadlines in a fast-paced environment with changing priorities.
- Experience and knowledge of Viefund is an asset.
- Bilingual in English and Chinese would be a definite asset.

**Salary**: $50,000.00-$65,000.00 per year

Schedule:

- 8 hour shift

COVID-19 considerations:
All employees are required to wear a mask, common surfaces are sanitized regularly, full vaccination required.

Ability to commute/relocate:

- Markham, ON: reliably commute or plan to relocate before starting work (required)

**Experience**:

- Mutual Fund Representative: 2 years (required)
- Branch manager with MFDA or IIROC: 1 year (required)

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