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Compliance Analyst
3 weeks ago
Temporary Full Time
Canada Life Investment Management Ltd. (CLIML), a registered investment fund manager, portfolio manager, and commodity trading manager regulated primarily by the Ontario Securities Commission, is seeking a detail-oriented and proactive Compliance Analyst to join our Wealth Solutions team. CLIML is the manager of the Canada Life and Counsel Mutual Funds.
As a Compliance Analyst, you will play a key role in maintaining a robust control environment and ensuring adherence to regulatory requirements. You will monitor and analyze trade activity, support regulatory filings, and collaborate with internal and external stakeholders to uphold compliance standards.
**Key Responsibilities**:
- Conduct trade and holdings compliance reviews using Bloomberg and other analytical tools.
- Provide oversight of fund compliance by collaborating with sub-advisors and portfolio managers to gain insights into fund activity.
- Execute and document compliance-related controls, with a focus on personal trading. Responsibilities include reviewing and approving trade requests, tracking approvals, collecting and reviewing access persons’ account statements ensure compliance with the Personal Trading Policy.
- Support the Director of Compliance and the Chief Compliance Officer, CLIML, in identifying applicable regulatory requirements, assessing their impact on CLIML’s operations, and supporting efforts to meet compliance obligations.
- Gather and organize information from diverse sources to assist and support both periodic and ad-hoc regulatory filings
- Contribute to the preparation of monthly and quarterly reports for the Chief Compliance Officer and senior management, as well as quarterly reports for the Independent Review Committee.
- Identify and recommend enhancements to compliance-related processes to improve efficiency and effectiveness.
**Qualifications & Competencies**:
- Prior experience with mutual funds is preferred.
- Familiarity with Bloomberg Compliance Manager.
- Experience in compliance or wealth management, ideally within a securities-regulated entity.
- University degree in a relevant field.
- CPA designation is considered an asset.
- Knowledge of securities regulations, particularly National Instruments NI 31-103, NI 81-101, NI 81-102, NI 81-105, and NI 81-106, is an asset.
- Strong analytical and problem-solving skills.
- Results-driven with excellent prioritization and time management abilities.
- Exceptional written and verbal communication skills.
- Proven ability to work independently and collaboratively within a team.
- Demonstrated relationship-building skills across all organizational levels.
- Proficiency in Microsoft Office Suite.
Given the size and scope of our organization, we have the flexibility for this position to be located in the following head office locations: London, Toronto, Winnipeg.
The base salary for this position is between **$56,000**:
- $92,300**annually. This represents base salary only and does not represent other variable compensation components of our total compensation ( i.e. annual bonus, commission etc). If you are selected to move forward in our recruitment process, your recruiter will be able to discuss additional details of our total rewards program with you.
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.
LI-Hybrid
