Compliance Officer

Full-time, Permanent

$75k+ DOE

2 months ago in Accounting and Finance

Job Description:

Our client is an independent, partner-owned investment counselling firm. They are recruiting for an exceptional candidate to join the compliance, operations and finance group, primarily focused on compliance & operations.  This includes assisting with the implementation and oversight of the compliance program for firm and fund activities under the investment fund manager, portfolio manager, and exempt market dealer registrations. The candidate will report to the Chief Compliance Officer and liaise with other team members.

Responsibilities:

  • Assist with adhering to the compliance program (e.g. AML review, cybersecurity risk management, regulatory filings, service provider oversight, personal trading review, compliance training and maintenance of our fund documents).
  • Assist in the creation and documentation of new processes to ensure strong recordkeeping obligations.
  • Ensure process and documents are kept up-to-date and records are well organized and maintained, particularly in preparation for potential regulatory audits/due diligence engagements.
  • Liaise with the operations and client service group to ensure complete and accurate information is provided in accordance with regulatory and internal requirements.
  • Assist and respond to requests from internal and external stakeholders dealing with a variety of portfolio management inquiries, including due diligence questionnaires and auditor inquiries.
  • Assist with review of marketing materials, KYC documents, and other communications to ensure compliance with regulatory requirements.
  • Support team to identify, verify, analyze and implement process improvement opportunities, including participating in the implementation of technology solutions to enhance the operations and compliance workflow.

Qualifications:

  • Undergraduate or advance degree – Finance, Commerce, Accounting, Economics or another related discipline;
  • Ability to locate, research and analyze regulatory requirements and apply them practically to the operations of the business;
  • Proven ability to exercise sound independent judgment to resolving problems or identifying issues requiring escalation;
  • Demonstrated ability to execute projects/initiatives in a focused and highly tactical manner
  • Superior communication (English oral and written) and interpersonal skills;
  • Positive attitude, team player, eagerness to learn, and passionate for continuous improvement
  • Ability to multitask and work in a fast-paced, team-oriented environment;
  • Excellent organizational skills and ability to prioritize work and meet internal/external deadlines;

To apply, upload your resume and complete the required information in the “Apply For The Job” section located to the right of the posting. Alternatively, quote the position title and email your resume to: Beth; b.title@tdspersonnel.com

If you are already registered with TDS Personnel please contact your Consultant.

TDS Personnel is an equal opportunity employer and is committed to providing employment in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act. Accommodations within reason due to a disability or medical need are available on request for candidates taking part in the recruitment process.

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