Compliance Manager- (2 Year Contract)

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

Job summary

A leading real estate services firm in Toronto is seeking a Compliance Manager for a 2-year contract. The successful candidate will ensure adherence to securities legislation and manage compliance operations. The ideal candidate will have 5+ years of experience in compliance and relevant securities industry knowledge. Competitive salary ranges from $97,750 to $115,000 annually.

Qualifications

• 5+ years experience in Compliance is mandatory.
• Securities industry compliance experience required.
• Experience in the last 36 months preferred.

Responsibilities

• Implement and maintain compliance policies and procedures.
• Monitor compliance with securities legislation.
• Report any non-compliance issues to senior management.

Skills

Compliance Experience

Securities Industry Knowledge

Attention to Detail

Education

Passed Exempt Market Products Exam

Passed Chief Compliance Officers Qualifying Exam

Job description

Job Title

Compliance Manager - 2 Year Contract

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 into 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 that CW Canada, or any individual acting on its behalf, may be in non-compliance with securities legislation, including:
• (i) the non-compliance creates, in the opinion of a reasonable person, a risk of harm to an investment fund or other client
• (ii) the non-compliance creates, in the opinion of a reasonable person, a risk of harm to CW Canada
• (iii) the non-compliance creates, in the opinion of a reasonable person, a risk of harm to the capital markets
• (iv) the non-compliance is part of a pattern of non-compliance
• Submit an annual report to the Board for the purpose of assessing compliance by CW Canada and individuals acting on its behalf, with securities legislation.
• Create awareness of CW Canada’s procedures and policies as well as rules and regulations with which all personnel are required to comply.
• Monitor adherence with such policies, procedures, rules and regulations and to report and advise senior management and the Board accordingly.
• Enforce compliance policies and guidelines by those responsible for supervision.
• Review and assess potential conflicts of interest.
• Maintain records to accurately record CW Canada’s business activities, financial affairs, and client transactions and demonstrate CW Canada’s compliance with securities legislation.
• Monitor and consider ongoing regulatory guidance from the CSA and assess its applicability to CW Canada.
• Monitor and supervise sales practices.
• Supervise trades in a manner expected of an exempt market dealer.
• Review product documentation and client account documentation.
• Review all external advertisements and sales communications.
• Conduct KYP due-diligence on products to be offered to clients.
• Handle complaints and provide training on these policies and procedures and other compliance-related matters.

Requirements

• 5+ years experience in Compliance
• Securities industry experience in the compliance area is required
• At least 12 months of such experience in the last 36 months is required
• Required to have passed either the exempt market products exam or the Canadian securities course exam
• Required to have passed either the PDO exam (officers, partners and directors exam offered by IFSE institute or partners, directors and senior officers course exam offered by CSI global education inc.) or the Chief Compliance Officers qualifying exam

Compensation & Accessibility

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

Cushman & Wakefield is committed to equity in employment and our goal is to have a diverse, inclusive, and barrier-free workplace. If you are a person with a disability and need the job posting in an alternative format or any other accessible accommodations during the hiring process, please email your request to [e-mail]. Please refer to the job title and job location when you contact us.

INCO: Cushman & Wakefield