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Compliance Analyst

2 months ago

Toronto, Canada Recrute Action Full time
Compliance Analyst

We are seeking a detail-oriented and experienced Compliance Analyst to join our client's team in the insurance industry. This role will support institutional, high net worth, and retail business lines by ensuring compliance with global communications policies, Canadian regulatory requirements, and internal standards. The successful candidate will act as a key advisor to business partners, providing independent reviews of marketing materials and participating in project working groups related to product launches and changes.

What is in it for you:

• Hourly salary of $40.28 to $48.04, based on experience.
• 12-month contract.
• Full-time position: 37.50 hours per week.
• Hybrid work: 3 office days, from Tuesday to Thursday.
• Opportunity to work in a dynamic and professional environment.
• Join a passionate and inclusive team of professionals.

Responsibilities:

• Support the development, implementation, and maintenance of CWAM Distribution Compliance-related policies and procedures to ensure regulatory compliance.
• Review marketing materials (advertisements, presentations, website pages, brochures, articles, social media) to confirm compliance with National Instrument 81-102 and internal guidelines.
• Collaborate with PMs, sales, and product teams on new strategies/products/distribution methods, providing risk-based compliance analysis and guidance.
• Monitor and assess the impact of distribution-related regulations on sales, marketing, and other communications materials.
• Create and conduct compliance training and consultations regarding regulatory requirements and internal policies for stakeholders.
• Participate in institutional distribution compliance team projects, such as ESG, GIPS, and automotive review initiatives.
• Provide advice to firm personnel on distribution compliance matters.
• Act as an individual contributor, setting direction, establishing goals, and managing assigned tasks.
• Handle advanced compliance work and share best practices with team members.
• Collaborate with all areas of the organization to ensure compliance needs and business goals are met.
• Assist team members with tasks and assignments as needed.
• Establish and maintain strong working relationships with business units.
• Participate in industry forums/working groups to stay current on regulatory trends and industry standards.

What you will need to succeed:

• College/University Degree and/or equivalent experience.
• 3-5 years of related financial services, compliance, or management experience, particularly in the Canadian mutual fund industry.
• Familiarity with NI 81-102, Canada Securities Law, and working knowledge of NI 31-103, NI 81-105, NI 81-106, and NI 81-107 requirements related to investment funds and applicable securities regulations.
• Strong organizational skills, capable of handling high volumes of requests and inquiries within tight timelines.
• In-depth understanding of the mutual fund industry, its operational functions, and compliance and regulatory requirements for Investment Fund Manager, Portfolio Manager, and Commodity Trading Manager categories.
• Proactive, self-motivated with strong problem-solving abilities, and able to effectively prioritize in a fast-paced environment.
• Excellent written and verbal communication skills, with the ability to negotiate and influence others.
• Strong technology skills, including knowledge of applicable compliance or business systems.
• Strong ethical compass and comprehensive knowledge of the financial services industry.
• Advanced understanding of the regulatory environment and key compliance requirements.
• Ability to work independently and facilitate decision-making across groups.
• Strong change management skills and ability to embrace change.
• Ability to analyze technical information and make appropriate recommendations to decision-makers.

Why Recruit Action?

Recruit Action (agency permit: AP-2000003) provides recruitment services through quality support and a personalized approach to job seekers and businesses. Only candidates who match hiring criteria will be contacted.

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