Senior Compliance Officer
Core
Senior Compliance Officer supporting regulatory compliance programs for an Investment Fund Manager and Exempt Market Dealer, focusing on sales practices and communications.
Role type
Senior IC compliance officer (financial services)
Builds
Compliance policies, procedures, and controls for sales and marketing activities
Domain
Financial services / Investment management / Securities regulation
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Analytical skills, knowledge of National Instruments 81-102 and 81-105, experience in mutual fund manager compliance, understanding of internal controls assessment, ability to create and document new processes
Preferred skills
Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), Salesforce, Concur, Tableau, training large groups of sales staff
Technologies
Salesforce, Concur, Tableau
Responsibilities
Coordinate with stakeholders to resolve compliance issues, apply policies and regulatory rules to inquiries, assist in creating new compliance processes and policies, review product and marketing materials for adherence to regulations, maintain sales communication checklists and sales practices guidelines
Seniority
Senior, hands-on IC