Compliance Officer for Investment Fund
Confidential • toronto, Canada
Role Description
Enhance regulatory success as the Compliance Officer for a leading Toronto investment fund manager. Take charge of the compliance program and ensure adherence to all industry standards.
In this pivotal role, you will lead compliance initiatives while collaborating with the Chief Compliance Officer and senior leadership. Your responsibilities include daily compliance monitoring, overseeing the AML/ATF program, and managing regulatory relations under NI 31-103. You will also review marketing materials and support portfolio management teams throughout compliance processes.
Key Responsibilities:
• Monitor compliance daily across registered fund activities
• Oversee AML/ATF program, KYC, and transaction monitoring
• Review fund disclosure documents and marketing materials
• Assist with OSC examinations and regulatory filings
• Provide guidance to portfolio and operations teams
Requirements:
• 4 to 6 years of compliance experience in Canada
• In-depth knowledge ...
In this pivotal role, you will lead compliance initiatives while collaborating with the Chief Compliance Officer and senior leadership. Your responsibilities include daily compliance monitoring, overseeing the AML/ATF program, and managing regulatory relations under NI 31-103. You will also review marketing materials and support portfolio management teams throughout compliance processes.
Key Responsibilities:
• Monitor compliance daily across registered fund activities
• Oversee AML/ATF program, KYC, and transaction monitoring
• Review fund disclosure documents and marketing materials
• Assist with OSC examinations and regulatory filings
• Provide guidance to portfolio and operations teams
Requirements:
• 4 to 6 years of compliance experience in Canada
• In-depth knowledge ...