Compliance Analyst

Role and Organization

Responsibilities

• Prepare, complete, and submit reports to internal stakeholders and regulatory authorities.
• Process and submit employee registration filings to regulators.
• Monitor conflicts of interest, including personal trading, outside activities, gifts, and entertainment; support development of the related management tool.
• Perform and document compliance control testing, identify gaps, and follow up on corrective measures.
• Draft and update internal compliance policies and procedures.
• Review advertising materials and social media, enhance the monitoring tool, and open client accounts.
• Help develop compliance training content.
• Support investment-policy compliance and monitor breaches with the Investment Compliance team.

Qualifications

• University degree, preferably in business, finance, economics, accounting, law, or a related field.
• General understanding of portfolio manager or registered securities-firm activities; knowledge of financial products and key financial-industry participants.
• Basic understanding of securities regulations relevant to portfolio management.
• Strong writing, information synthesis, attention to detail, and analytical abilities; able to recommend solutions and manage multiple files.
• Able to work independently and collaboratively and contribute to continuous improvement.
• Intermediate English and advanced French proficiency are required for frequent written and verbal communication across Canada.
• Bloomberg, Power BI, other analytics or data science tools, and CSI Global Education or other financial industry courses are assets.

Workplace

• The role is described as hybrid.

Benefits

• Benefits include group insurance, retirement savings, employee share purchase, vacation and wellness days, telemedicine, employee assistance, ergonomic furniture, performance bonus, and product discounts.