Compliance Analyst - 12 Month Term
About The Position
Canada Life Investment Management Ltd. (CLIML), a registered investment fund manager, portfolio manager, and commodity trading manager regulated primarily by the Ontario Securities Commission, is seeking a detail-oriented and proactive Compliance Analyst to join our Wealth Solutions team. CLIML is the manager of the Canada Life and Counsel Mutual Funds. As a Compliance Analyst, you will play a key role in maintaining a robust control environment and ensuring adherence to regulatory requirements. You will monitor and analyze trade activity, support regulatory filings, and collaborate with internal and external stakeholders to uphold compliance standards.
Requirements
- Prior experience with mutual funds is preferred
- Familiarity with Bloomberg Compliance Manager
- Experience in compliance or wealth management, ideally within a securities-regulated entity
- University degree in a relevant field
- Knowledge of securities regulations, particularly National Instruments NI 31-103, NI 81-101, NI 81-102, NI 81-105, and NI 81-106, is an asset
- Strong analytical and problem-solving skills
- Results-driven with excellent prioritization and time management abilities
- Exceptional written and verbal communication skills
- Proven ability to work independently and collaboratively within a team
- Demonstrated relationship-building skills across all organizational levels
- Proficiency in Microsoft Office Suite
Nice To Haves
- CPA designation is considered an asset
Responsibilities
- Conduct trade and holdings compliance reviews using Bloomberg and other analytical tools
- Provide oversight of fund compliance by collaborating with sub-advisors and portfolio managers to gain insights into fund activity
- Execute and document compliance-related controls, with a focus on personal trading. Responsibilities include reviewing and approving trade requests, tracking approvals, collecting and reviewing access persons' account statements ensure compliance with the Personal Trading Policy
- Support the Director of Compliance and the Chief Compliance Officer, CLIML, in identifying applicable regulatory requirements, assessing their impact on CLIML's operations, and supporting efforts to meet compliance obligations
- Gather and organize information from diverse sources to assist and support both periodic and ad-hoc regulatory filings
- Contribute to the preparation of monthly and quarterly reports for the Chief Compliance Officer and senior management, as well as quarterly reports for the Independent Review Committee
- Identify and recommend enhancements to compliance-related processes to improve efficiency and effectiveness
Benefits
- Career Development: Opportunities for career advancement, access to industry-leading learning programs and up to $2,000 annually towards education reimbursement.
- Health & Wellness: Flexible health and dental benefits, plus a $5,000 mental health benefit to support your well-being.
- Time Off: In addition to regular vacation and personal days, we support community involvement with a volunteer day.
- Financial Security: Company-matching pension plan, share ownership program and additional investment options.
- Rewards and Recognition: Employee recognition programs, service milestone celebrations, employee discounts and more!
- Emphasis on Community: We provide a workplace where employees feel connected and supported through Employee Resource Groups (ERGs), mentorship programs, social clubs and events.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
