Compliance Analyst

RedJay Asset Management; Ontario; On-site; CAD 55,000 - 75,000; Full time

Job summary

A leading investment management company based in Toronto is seeking a motivated Compliance Analyst to support regulatory compliance efforts. The successful candidate will assist in policy documentation, monitor trading activities, and handle regulatory filings while contributing to a collaborative environment focused on integrity and professionalism.

Qualifications

• 1-2 years of experience in compliance or regulatory roles.
• Familiarity with Canadian securities regulations.
• Basic coding knowledge (e.g., SQL, Excel VBA).

Responsibilities

• Assist in the creation and review of internal policies.
• Monitor employee personal trading activities.
• Participate in regulatory filings and compliance tasks.

Skills

Attention to Detail

Analytical Skills

Communication

Education

Bachelor’s degree in Law, Accounting, Finance, or Information Systems

Tools

Microsoft Excel

Job description

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Company Background

RedJay Asset Management Inc. is a Toronto-based investment manager primarily servicing Ultra High Net Worth Clients. Registered with the Ontario Securities Commission (OSC) as a Portfolio Manager, RedJay provides clients with tailored investment solutions, managed both internally and through industry-leading external managers.

Who We Are Looking For

We are looking for a motivated and detail-oriented Compliance Analyst to report to the Chief Compliance Officer (CCO). The ideal candidate is eager to learn, with strong analytical skills, excellent communication in English and Chinese, and the ability to work both independently and collaboratively. A self-starter who demonstrates integrity and a strong commitment to regulatory standards and professionalism is essential.

Key Responsibilities

Compliance :

• Assist in the creation, documentation, communication, and periodic review of internal policies and procedures to ensure alignment with evolving regulatory requirements and industry best practices.
• Monitor employee personal trading activities to ensure compliance with internal standards and regulatory obligations.
• Assist with regulatory filings to applicable regulatory bodies, including but not limited to 13F filings and other mandated reports.
• Set up and manage compliance rules, in collaboration with the Risk Management team, within internal compliance systems to reflect regulatory guidelines and investment mandates.
• Participate in weekly trade blotter reviews by generating and validating transaction and NAV reports to ensure data integrity and completeness.
• Assist with the annual Know Your Client (KYC) update process, ensuring timely review and verification of client information.
• Support the maintenance of the firm’s public-facing communications, including updates to the corporate website and LinkedIn profile to ensure accuracy and regulatory compliance.
• Undertake ad hoc tasks and special assignments as delegated by the CCO.

Operations :

• Maintain investment and compliance systems, support issue resolution and cybersecurity testing, and act as backup system administrator.
• Assist with onboarding of clients, brokers, and prime brokers, ensuring documentation and system setup in coordination with the CCO and front office.

Administrative :

• Oversee office procurement and vendor coordination, and support Finance with invoice submission

Must-Have Qualifications

• Bachelor’s degree in Law, Accounting, Finance, Information Systems, or a related field.
• 1-2 years of experience in the financial services industry or a professional services firm serving FI clients (e.g. investment firm, portfolio manager, or bank).
• 1-2 years of experience in a compliance or regulatory role.
• Familiarity with Canadian securities regulations, particularly those applicable to portfolio managers (e.g., NI 31-103 and other relevant rules).
• Working knowledge of investment products such as equities, ETFs, derivatives, and fixed income.
• Basic coding or scripting knowledge (e.g., SQL, Excel VBA, or Python) to support system rule configuration and data validation.
• Ability to adapt to and quickly learn compliance systems and portfolio management tools (e.g., Bloomberg, Linedata).
• Proficiency in Microsoft Office, particularly Excel, Word, and Outlook.

Nice-to-Have Qualifications

• Obtained or working toward completion of CSC (Canadian Securities Course), CFA, or FRM designations.
• Previous experience in a regulatory compliance role, especially within asset management or investment advisory.
• Exposure to investment management systems, such as Linedata, Eze, Charles River, or Bloomberg.
• Involvement in regulatory filings, trade surveillance and monitoring, regulatory exams, or compliance reporting.

Seniority level

Seniority level

Entry level

Employment type

Employment type

Full-time

Job function

Job function

Finance

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