Compliance Analyst

Harbourfront Wealth Management; Burlington; Hybrid; CAD 90,000 - 110,000; Full time

Benefits offered by this job

Hybrid work model

Job summary

Willoughby Asset Management Inc. in Burlington, Ontario, is seeking a Compliance Analyst to join a hybrid team responsible for regulatory compliance across Canadian requirements. You will monitor developments, support regulatory filings, and assist in audits and policy enforcement.

The successful candidate will bring at least 5 years in investment fund compliance, strong analytical skills, attention to detail, and excellent communication to liaise with internal teams and service providers.

Qualifications

• 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.

Responsibilities

• 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.

Skills

Analytical thinking

Regulatory knowledge

Problem solving

Multitasking

Attention to detail

Communication

Creative thinking

Job description

Willoughby Asset Management Inc. is a member of the Harbourfront Group of Companies (“Harbourfront”) is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing wealth management firm with over $22 billion in assets under administration, comprised of five integrated entities: CIRO dealer, investment counsel, asset manager, U.S. Registered Investment Advisor (RIA) and insurance company. At Harbourfront Wealth, our core values start with the belief that great people make great companies. Willoughby is a registered investment fund manager across various jurisdictions in Canada, with BCSC as its principal regulator.

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).

Diversity and Inclusion

Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.