Join our Asset Management team as a Senior Compliance Analyst, Asset Management, where you will play a key role in supporting compliance with applicable regulations and governing bodies, including the Ontario Securities Act, FINTRAC, OSC guidelines, the Insurance Act, and OSFI Guidelines. Reporting to the Director, Asset Management Compliance, you will support day-to-day compliance operations, regulatory oversight, trade supervision, reporting, and investment compliance program enhancements while gaining broad exposure to investment management operations. This role offers the opportunity to work closely with investment teams, external fund managers, and regulatory requirements while contributing to a strong culture of governance, risk management, and continuous improvement.
Work Arrangements: This is a hybrid role. You will work in our office in Waterloo, ON a minimum of two (2) assigned, consecutive days every other week, plus a fifth (5th) assigned day per month. You are welcome to work from the office more than the minimum requirement and there may be some roles that are required to work in our office more than the minimum requirement.
What you'll do:- Conduct compliance monitoring and testing to assess adherence to investment policies, mandates, restrictions, regulatory requirements, and internal guidelines.
- Research and monitor regulatory developments, including securities legislation, insurance regulations, OSFI requirements, FINTRAC obligations, and AML requirements, preparing summaries, impact assessments, and implementation plans.
- Support the ongoing enhancement of the investment compliance framework, including policies, procedures, guidelines, internal controls, and compliance monitoring documentation.
- Produce monthly and quarterly compliance dashboards, KPI/KRI reporting, trend analysis, management reports, and committee reporting packages.
- Analyze investment holdings, transactions, personal trading activity, compliance exceptions, and portfolio data, making recommendations to management.
- Perform daily trade supervision and support pre-trade and post-trade compliance reviews, trade exception investigations, and trading report distribution.
- Maintain compliance breach and issue logs, track remediation activities, validate corrective actions, and prepare status reporting for management.
- Support regulatory filings, registrations, surveys, examinations, questionnaires, and information requests while maintaining compliance records and evidence for audits and reviews.
- Conduct due diligence reviews and oversight activities for internal and external fund managers, investment products, and funds, including onboarding, document collection, and periodic reviews.
- Assist with the development and maintenance of the investment compliance technology platform, including compliance monitoring, mandate testing, exception management, and investment oversight reporting within Finbourne and other portfolio management systems.
What you'll bring:- University degree in Finance, Business, Accounting, Economics, Risk Management, or a related discipline.
- 3-5+ years of experience in investment compliance, audit, risk management, investment operations, or asset management.
- Strong understanding of securities regulation, investment products, governance frameworks, compliance monitoring, and regulatory obligations.
- Experience supporting compliance programs, regulatory reviews, examinations, filings, and ongoing compliance reporting activities.
- Advanced Excel skills with the ability to perform complex data analysis, reconciliation, interpretation, and trend reporting.
- Experience with portfolio management and compliance systems such as Finbourne, BlackRock Aladdin, SimCorp One, or Charles River IMS.
- Demonstrated ability to analyze compliance exceptions, identify risks, investigate issues, and recommend practical solutions.
- Excellent written and verbal communication skills, including strong report-writing, presentation, and stakeholder engagement abilities.
- Strong organizational skills with exceptional attention to detail, integrity, problem-solving abilities, and the capacity to manage multiple priorities independently.
- Proactive and self-motivated individual capable of working independently and taking ownership of assigned tasks and responsibilities.
- Demonstrates strong interpersonal and collaboration skills working effectively with various stakeholders to compliance objectives.
- A continuous improvement mindset and progress toward or completion of a professional designation such as CSC, CIM, CFA, CRCM, or another relevant credential is considered an asset.
What's in it for you: - Career Growth: Regular learning sessions and development opportunities
- Total Rewards: Incentive pay, annual salary reviews, employer-paid benefits and pension matching
- Time Away: Competitive vacation plus one paid volunteer day each year
- Flexibility: Healthy work-life balance with employee wellness always top of mind, complemented by a "dress for your day" approach
Reports To:Director, Asset Management Compliance
Department: Legal and Compliance
Term: Permanent Full-Time
#LI-Hybrid
