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Compliance Manager

Job Highlights

Our client is looking for a Compliance Manager for a 6-month contract.

About the Opportunity

  • Maintain and conduct on-going monitoring, oversight, and assessment of company’s wealth and investment management compliance program
  • Monitor fund and portfolio investment limits pre- and post-trade, investigating where necessary to communicate action items to the investment teams in a timely manner
  • Oversee the investment fund and portfolio rule lifecycle from set-up, to monitoring, to post-reporting while demonstrating technical proficiency of the trade order management system 
  • Act as the key compliance resource and main point of contact for firm-wide system enhancements and other implementation projects to ensure compliance considerations are captured
  • Coordinate directly with a variety of stakeholders across different departments to resolve compliance-related issues, quickly and effectively in line with policies and procedures
  • Assist in various regulatory filings, surveys, and regulatory inquiries 
  • Provide compliance support to client wealth management related functions
  • Identify areas for continuous improvement within the compliance framework, including maintaining and updating policies and procedures and designing new testing programs for adherence to policies and procedures
  • Support the effective and efficient operation of trade compliance responsibilities and provide back-up support within the team and on other projects as assigned

About You

  • University degree in Business, Finance, Accounting, Law or related
  • 3-5 years of experience in Compliance, Legal, Accounting, Risk, Internal Audit or related; preferably within the wealth management or investment fund industry
  • CFA, CPA, or other professional designation is an asset (or working towards)
  • Proficiency in navigating trade order management systems
  • Familiarity with the securities’ regulatory environment
  • Embraces shifting demands for time, priorities, and rapidly changing environment
  • Demonstrates accuracy and thoroughness, ensures quality and a strong attention to detail and follow-through
  • Committed to implementing best practices and continuous improvement
  • Presence and self-confidence to interface with the key constituents of the firm including process owners, senior executives, and other stakeholders
  • A high standard of integrity and ability to maintain the highest degree of confidentiality
  • Strong business acumen and work ethic with the desire, ability, and curiosity to think strategically to navigate competing issues and improve current processes
  • Takes ownership and "rolls up sleeves" to meet objectives

Pay Rate


How to Apply

Click the “Apply Now” button and follow the instructions to submit your resume. Please note that we only accept documents in MS Word or Rich Text formats. When referencing this job, quote #317188.

You must currently reside within the Greater Toronto Area and be permitted to work in Canada to be considered for this opportunity. A recruiter will be in touch with you if your profile meets our client’s requirements for this role.



Job Application for
Compliance Manager

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