Compliance Manager- (2 Year Contract)

Cushman Wakefield Multifamily; Oshawa; On-site; CAD 97,000 - 115,000; Full time

Job summary

A leading real estate services firm is seeking a Compliance Manager in Oshawa. The candidate will oversee compliance with securities legislation and report directly to the President. Qualifications include 5+ years in compliance and relevant exam requirements. Competitive salary range of $97,750 - $115,000 is provided.

Qualifications

• 5+ years experience in Compliance with securities industry experience required.
• At least 12 months of recent compliance experience within the last 36 months.
• Passed exempt market products exam or Canadian securities course exam.

Responsibilities

• Establish and maintain compliance policies and procedures.
• Monitor compliance adherence and report to senior management.
• Submit annual compliance report to the Board.

Skills

Compliance oversight

Securities legislation knowledge

Risk assessment

Job description

Overview

We are looking for a Compliance Manager to join our Toronto Central (Downtown) office. The successful candidate will be responsible for overseeing security legislation and personnel across Canada. The successful candidate will report directly to the President of Advisory Canada.

Responsibilities

• Establish and maintain policies and procedures for assessing compliance by CW Canada and individuals acting on its behalf, with securities legislation.
• Monitor and assess compliance by CW Canada and individuals acting on its behalf, with securities legislation.
• Report to the UDP as soon as possible if the Compliance Manager becomes aware of any circumstances indicating non-compliance that may pose risks, including harm to clients, CW Canada, the capital markets, or patterns of non-compliance.
• Submit an annual compliance report to the Board.
• Create awareness of policies, procedures, rules, and regulations among personnel.
• Monitor adherence and report to senior management and the Board.
• Enforce compliance policies and guidelines.
• Review and assess potential conflicts of interest.
• Maintain records of business activities, financial affairs, and client transactions to demonstrate compliance.
• Monitor regulatory guidance from the CSA and assess applicability.
• Supervise sales practices and trades in an exempt market dealer context.
• Review product documentation, client account documentation, and external advertisements.
• Conduct KYP due diligence on products.
• Handle complaints and provide training on compliance-related matters.

Qualifications

• 5+ years experience in Compliance, with securities industry experience required.
• At least 12 months of recent compliance experience within the last 36 months.
• Passed either the exempt market products exam or the Canadian securities course exam.
• Passed either the PDO exam or the Chief Compliance Officers qualifying exam.

The compensation for the position is: $97,750.00 - $115,000.00.

Cushman & Wakefield is committed to diversity and inclusion. If you require accessible accommodations during the hiring process, please email [e-mail], mentioning the job title and location.

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