Officer, Compliance

4 weeks ago

Toronto, Ontario, Canada Robertson & Company Ltd. Full time

Job Title:

Officer, Compliance - Institutional

Location:

Toronto, ON or Calgary, AB

Contract - 18 Months

The Client:

Our client is a well-established, investment firm in Canada. The firm is dedicated to delivering long-term financial success for its clients and is known for its collaborative, high-performance culture. They are seeking a Compliance Officer to join their team, focusing on compliance oversight for business development, onboarding, and institutional client management.

What you will achieve in this role:

  • Ensure regulatory compliance across institutional business development, client onboarding, and ongoing client relationship management.
  • Review and approve marketing materials, prospecting documents, and client proposals to ensure alignment with regulatory requirements.
  • Oversee trade supervision and compliance monitoring using tools such as SimCorp Dimension and other internal systems.
  • Maintain and update institutional client investment restrictions, ensuring compliance with internal policies and regulatory guidelines.
  • Support regulatory reporting obligations, including U.S. filings such as Form ADV and Form PF.
  • Conduct periodic testing and audits to assess adherence to internal policies, regulatory frameworks, and industry best practices.
  • Monitor electronic communications and escalate any compliance concerns.
  • Continuously update policies and procedures to align with evolving regulatory requirements.
  • Provide training and compliance guidance to internal teams, ensuring best practices are upheld across institutional operations.
  • Collaborate with legal and risk management teams to enhance firm-wide compliance initiatives.

What you must bring to this role:

  • Must have prior experience in institutional compliance within investment management or asset management.
  • Minimum 4 years of experience in a compliance function within institutional asset management, investment management, or a similar regulated financial environment.
  • Solid understanding of Canadian and U.S. securities regulations applicable to investment managers and institutional clients.
  • Proficiency in compliance monitoring tools such as SimCorp Dimension or Charles River would be an asset.
  • Strong analytical skills and attention to detail, particularly in reviewing documentation and monitoring trade activity.
  • Ability to interpret and implement new regulatory requirements within business processes.
  • Excellent communication and interpersonal skills, with the ability to provide compliance guidance to internal teams.
  • Strong organizational skills with the ability to manage multiple priorities in a fast-paced environment.
  • A university degree in finance, economics, business, or a related field; CFA designation or progress toward it would be an asset.

Note: Salary will be determined based on relevant experience and skills.

Only those who are qualified will be contacted.

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