Senior Compliance Officer

About the role

Assist in coordinating processes for efficiently delivering and tracking required client reporting on a monthly, quarterly, annual, and ad-hoc basis.
Serve as a point of contact for internal and external stakeholders to facilitate and complete a variety of requirements and requests.
Prepare report materials for clients and internal Boards.
Support regulator and client reporting obligations for Canadian sub advised mandates, including coordination with internal partners.
Respond to reporting, due diligence, and oversight requests from Canadian sub-advisory, wrap and institutional client inquiries.
Complete various aspects of trade review/analysis/oversight and other reviews for compliance with applicable regulations.
Assist in the development, implementation, and maintenance of policies and procedures.
Assist with projects and initiatives involving technology, data analysis, surveillance and other Compliance initiatives for the Americas region.
Track and deliver projects with accuracy for completion of projects in advance of deadlines.
Interact with members of the global compliance team to assist with Compliance initiatives.
Present complex information in a professional and easy to understand manner.
Serve as a liaison between the business and Compliance for various compliance-related initiatives.
Complete special projects as assigned.

Requirements

• Bachelor's Degree with a focus in Finance, Business or related degrees.
• Minimum of 5 years of experience within the financial services industry required with at least 2 years of direct compliance experience.
• Knowledge of securities regulation (National Instrument 81-102, National Instrument 31-103, Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934), as they relate to operations within the advisory compliance for mutual funds, institutional mandates and separate accounts preferred.
• Working knowledge of investments, trading, back-office operations, financial services industry and securities laws/regulations is preferred.
• Broad experience with the regulatory environment (SEC, CFTC/NFA, FINRA, OSC, CSA, and ERISA) is preferred.
• Familiarity with trading systems and their compliance component, such as Charles River, Bloomberg, Aladdin, or similar order management/compliance rules-based systems.
• FINRA Series 7, Securities Industry Essentials, Compliance Officer exam, or certification in a related field of practice is a plus.

Skills

• Strong prioritization, problem solving, oral and written communication skills and the ability to interact well with all levels of employees.
• Strong quantitative, analytical, problem-solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.
• Able to condense, refine, simplify and communicate the purpose and significance of internal and external regulations.
• A desire to learn, grow, and assume more responsibility, as appropriate.
• Proficiency of the Microsoft Office suite of applications required.

Benefits

• Flexible paid time off.
• Hybrid work schedule.
• 401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution.
• Health & wellbeing benefits.
• Parental Leave benefits.
• Employee stock purchase plan.

Pay

Commensurate with experience.

Schedule

Full Time.