Compliance senior specialist

Société Financière Manuvie; Toronto; On-site; CAD 70,000 - 100,000; Full time

Job summary

A leading financial services company is seeking a Compliance Senior Specialist to join their Investment Compliance team. The role involves providing investment compliance support, ensuring adherence to regulations, and collaborating with various teams to maintain compliance standards across North America and Europe. Ideal candidates will have a background in financial services and experience with compliance systems.

Benefits

Supportive environment for learning and growth

Focus on well-being and inclusion

Qualifications

• 2-3 years of related experience in financial services, audit, compliance, or legal fields.
• Experience coding compliance rules within systems like Bloomberg AIM, Charles River, or BlackRock Aladdin is preferred.
• Knowledge of investment industry and international financial markets.

Responsibilities

• Review account documentation and collaborate with local trade monitoring teams.
• Develop, implement, and ensure adherence to required controls and monitoring standards.
• Provide ad hoc monitoring and regulatory advice to Trading, Operations, and Compliance monitoring teams.

Skills

Detail-oriented

Strong organizational skills

Strong decision-making

Analytical skills

Communication skills

Project management

Tools

Bloomberg AIM

Charles River

BlackRock Aladdin

Job description

The Investment Compliance team is seeking a Compliance Senior Specialist to join the team. In this role, you will provide investment compliance/trade monitoring support to ensure compliance with applicable regulatory requirements and internal policies and procedures. The position plays a critical role in ensuring that the Company has an appropriate global model in place for investment monitoring activities, including but not limited to account management, new account onboarding, monitoring, and system usage, by ensuring key controls and standards are in place globally.

Role Focus

The focus of this role will be on North America and Europe, but it will also involve supporting the business in developing standards to align monitoring activities and participating in projects and key initiatives to ensure adherence to best practices, policies, and procedures globally.

Position Responsibilities

1. Review account documentation and collaborate with local trade monitoring teams, client relationship management, product, legal, and front office to clarify guidelines regarding restrictions and portfolio monitoring.

2. Develop, implement, and ensure adherence to required controls and monitoring standards, providing training as needed to promote consistency across the business.

3. Provide ad hoc monitoring and regulatory advice to Trading, Operations, and Compliance monitoring teams to ensure awareness and understanding of relevant regulations.

4. Collaborate with front, middle, and back office teams to ensure effective controls are in place to prevent, detect, and correct violations of regulatory and contractual requirements related to portfolio monitoring.

5. Stay informed of regulatory developments and assess their impact on business operations; support the development, implementation, and maintenance of policies and procedures to ensure ongoing compliance.

6. Engage with internal teams and external vendors to communicate deficiencies, gather compliance requirements, and incorporate systemic enhancements and changes.

7. Contribute to the design and implementation of new investment initiatives by identifying key compliance requirements, assessing gaps and risks.

8. Assist management and other business units in ad hoc compliance projects as assigned.

Required Qualifications

1. 2-3 years of related experience in financial services, audit, compliance, or legal fields.

2. Experience coding compliance rules within systems like Bloomberg AIM, Charles River, BlackRock Aladdin, or similar is preferred.

3. Detail-oriented with strong organizational skills.

4. High initiative and commitment to meeting deadlines.

5. Ability to prioritize and adapt work based on changing business needs.

6. Ability to work independently and collaboratively.

7. Strong decision-making, analytical, and communication skills.

8. Knowledge of investment industry and international financial markets.

9. Strong project management skills with the ability to analyze complex situations and provide practical recommendations.

Preferred Qualifications

1. Experience with BlackRock Aladdin.

2. Knowledge of securities laws and regulations such as Advisers Act, Investment Company Act, NI 81-102, and UCITS.

Additional Information

We offer a supportive environment for learning and growth, with a focus on well-being and inclusion. Join our global team and help shape the future.