Compliance Analyst

Toronto, ON M5H 2R2 | Direct Hire

Job ID: 59712 Industry: Brokerage/Finance

Compliance Analyst

Salary up to $80,000 + Bonus + Benefits + 3 Weeks of Vacation!

Our client, a well-established investment firm servicing an ultra-high net worth client base, seeks a Compliance Analyst to be an integral part of their dynamic team. Reporting to the Chief Compliance Officer, the Compliance Analyst will execute regulatory compliance and portfolio compliance programs, review and update compliance policies and procedures, and assist with preparing reports, presentations and compliance analyses. If you are a highly motivated team player with experience in the investment industry, then we would like to hear from you!

Responsibilities:

  • Execution of compliance programs in various areas, including account opening and maintenance, transaction reviews, personal trading reviews, restrictions and investment monitoring, among others
  • Reconciliation and reporting of the error account
  • Review and updating of compliance policies and procedures
  • Coordination and scheduling of internal committee meetings and related record maintenance
  • Coordination and monitoring of staff education program
  • Working with Compliance Officers to ensure all regulatory filings are completed within required timeframes
  • Personal trading reviews for all employees
  • Assisting the CCO and Compliance Officers with preparing reports, presentations and compliance analyses

 

Qualifications:

  • Post-secondary degree in business or a related field
  • Experience in investment industry
  • Completion of Canadian Securities Course
  • Ability to analyze complex legal documents and legislation
  • Previous legal and compliance experience in an OSC regulated environment an asset
  • Strong interpersonal skills and an ability to work in a fast-paced environment
  • Highly motivated, team player

Click 'Apply Online' or send your resume by email to JTCResume@bagg.com

View all of our job postings at www.bagg.com

Accommodations are available upon request to support your participation during all stages of the recruitment process.


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