Associate Compliance Specialist, Mutual Funds

The Co-operators Group; Guelph; Hybrid; CAD 50,000 - 84,000; Full time

Benefits offered by this job

Competitive salary and benefits

Job summary

CGL, CFIS Compliance, seeks an Associate Compliance Specialist, Mutual Funds, in a Regular Full-Time, hybrid role. You will monitor trading activity and review transactions to ensure regulatory compliance, providing onboarding support and training to Advisors.

Two years in Mutual Funds, post-secondary education, and a Mutual Fund Licence with Branch Manager Compliance certification are required, along with strong regulatory knowledge and planning principles.

Qualifications

• Two years of experience in Mutual Funds.
• Post-secondary education in a related discipline.
• Mutual Fund Licence and Branch Manager Compliance certification.
• Advanced knowledge of Mutual Fund regulations and compliance guidelines for sales and transactions.
• Working knowledge of financial planning principles, sales, process and behaviour.

Responsibilities

• Reviewing daily transactions and activities to ensure compliance with Mutual Fund dealer expectations and regulatory requirements.
• Identifying compliance concerns and providing support, education and expertise to ensure issues are resolved in a timely manner.
• Conducting location audits, communicating expectations and submitting reports to track progress.
• Providing coaching to Advisors, delivering training, setting expectations and identifying development opportunities.
• Liaise with Registrations team to assist with the onboarding process for new Advisors.

Skills

Strong communication

Critical thinking

Team player

Education

Post-secondary education in related discipline

Tools

Mutual Fund Licence

Branch Manager Compliance certification

Mutual Fund regulations knowledge

Job description

Associate Compliance Specialist, Mutual Funds

Job Category: Member Relations & Corporate Services

Company: CGL
Department:CFIS Compliance
Employment Type: Regular Full-Time
Work Model: Hybrid
Language: This role operates in English.
Additional Information: This role is currently vacant.

The Opportunity:

We are a leading Canadian financial services co-operative committed to being a catalyst for a sustainable and resilient society and our team is essential to deliver on this strategy. That’s why we prioritize our people, to ensure we provide a strong culture and development opportunities which enables our team to thrive and to live our purpose. The best part is that you will work with people that care passionately about you, our clients, and our communities.

As the Associate Compliance Specialist, Mutual Funds, you will monitor compliance and review trading reports to ensure transactions meet regulations. You will offer support to Advisors in resolving compliance issues and provide onboarding expertise to facilitate learning.

How you will create impact:

• Reviewing daily transactions and activities to ensure compliance with Mutual Fund dealer expectations and regulatory requirements.
• Identifying compliance concerns and providing support, education and expertise to ensure issues are resolved in a timely manner.
• Conducting location audits, communicating expectations and submitting reports to track progress.
• Providing coaching to Advisors, delivering training, setting expectations and identifying development opportunities.
• Liaise with Registrations team to assist with the onboarding process for new Advisors.

How you will succeed:

• You influence change and are committed to continuous improvement, in order to exceed client expectations.
• You leverage critical thinking skills to identify problems and proactively propose solutions.
• Your strong communication skills allow you to clearly convey messages.
• You’re an effective team player who shares knowledge to support your peers.

What you need to know:

• You may travel occasionally.
• You are required to have your own vehicle, valid driver’s license and insurance.
• You will be subject to a Background check as a condition of employment, in the event you are the successful candidate.

To join our team:

• You have two years of experience in Mutual Funds.
• You have post-secondary education in a related discipline.
• You have a Mutual Fund Licence and a Branch Manager Compliance certification.
• You have advanced knowledge of Mutual Fund regulations and compliance guidelines for sales and transactions.
• You have working knowledge of financial planning principles, sales, process and behaviour.

What’s in it for you?

• Training and development opportunities to grow your career.
• Flexible work options and paid time off to support your personal and family needs.
• A holistic approach to your well-being, with physical and mental health programs and a supportive workplace culture.
• Paid volunteer days to give back to your community.
• In addition to our competitive salary and incentive programs, eligible employees also benefit from a comprehensive total rewards package including group retirement savings plans, pension and benefits (e.g., health and wellness, dental, disability and life coverage), mental health support and an employee assistance program.

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Salary information

Expected salary range $50,280 - $83,800

The salary amount for the successful candidate is determined by Co-operators in its discretion and will vary depending on several criteria including but not limited to: local market conditions, geography and relevant job-related factors such as knowledge, skills, qualification, experience and education.

Employees may also have the opportunity to participate in incentive programs and earn additional compensation tied to individual and/or business performance, or other business metrics.