Confidential
Senior Compliance Specialist Investment Funds
Job Description
Lead compliance strategies as a Senior Compliance Specialist for a Toronto investment fund manager. Shape and control compliance initiatives while ensuring regulatory adherence.
This role involves working closely with the Chief Compliance Officer and senior management to implement compliance strategies effectively. You will focus on daily compliance monitoring, regulatory oversight under NI 31-103, and AML/ATF program management. Your expertise will greatly support portfolio management and strengthen regulatory relationships.
Key Responsibilities:
• Monitor registered fund activities for compliance daily
• Manage AML/ATF program, including KYC processes
• Review and ensure quality of marketing materials
• Assist with OSC examinations and related filings
• Provide compliance guidance to portfolio teams
Requirements:
• 4 to 6 years of compliance experience in Canada
• Strong understanding of NI 31-103 and OSC regulations
• Practical AML/FINTRAC compliance...
This role involves working closely with the Chief Compliance Officer and senior management to implement compliance strategies effectively. You will focus on daily compliance monitoring, regulatory oversight under NI 31-103, and AML/ATF program management. Your expertise will greatly support portfolio management and strengthen regulatory relationships.
Key Responsibilities:
• Monitor registered fund activities for compliance daily
• Manage AML/ATF program, including KYC processes
• Review and ensure quality of marketing materials
• Assist with OSC examinations and related filings
• Provide compliance guidance to portfolio teams
Requirements:
• 4 to 6 years of compliance experience in Canada
• Strong understanding of NI 31-103 and OSC regulations
• Practical AML/FINTRAC compliance...