Career opportunity: We are seeking a Compliance Analyst for our investment fund manager, Willoughby Asset Management Inc., to join the Burlington, Ontario location on a hybrid working model. The successful candidate will ensure that the firm's operations and investment products comply with applicable Canadian regulatory requirements. The candidate will report to the Chief Compliance Officer ("CCO") of Willoughby and work closely with various internal departments and external service providers on a small, fast-paced team. In this role you will gain access and experience in all areas of investment fund management, while assisting in monitoring internal controls, reviewing marketing materials, supporting regulatory filings and conducting other compliance reviews.
You will be responsible for:- Monitor regulatory developments from CSA, BCSC, CIRO and other applicable authorities;
- Assist in the preparation and filling of regulatory reports;
- Assist in maintaining and enforcing of compliance policies and procedures;
- Support with the oversight of portfolio management practices, including but not limited to monitoring fund trading activity and adherence to the investment policy statement;
- Review fund marketing materials and investor communications;
- Liaise with advisors for fund, trade, or client related matters;
- Assist with internal compliance audits and document testing;
- Assist with compliance activities for fund changes, including but not limited to launches and terminations;
- Support the CCO in maintaining and updating Conflict of Interest related documents, logs and materials at the firm;
- Sales practices oversight and reviews as required;
- Support the development and delivery of compliance training to staff;
- Liaise with service providers as required;
- Monitor internal mailboxes and respond to inquiries as required;
- Ad-hoc projects to meet business needs.
The ideal candidate for this position has:- Minimum 5 years compliance experience within Investment Fund Management;
- Good understanding of investment industry and regulations;
- Strong analytical and problem-solving skills;
- Ability to multi-task and prioritize in a fast-paced environment;
- Attention to detail and organizational skills;
- Excellent communicator and creative thinking skills, always looking for process efficiencies.
Salary Range: $90,000-$110,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity). 
