Compliance Specialist

KAI Asset Management Inc.; Winnipeg; On-site; CAD 65,000 - 90,000; Full time

Job summary

KAI Asset Management Inc. is seeking a Compliance Specialist or Senior Compliance Specialist in Winnipeg. The role supports the firm’s compliance program including monitoring, KYC, suitability reviews, regulatory filings, recordkeeping, and training.

Remote candidates from Canada may be considered; the position offers growth into a senior role in the near term. The ideal candidate has a minimum of 5 years of compliance experience within financial services, strong knowledge of Canadian securities

Qualifications

• Minimum of 5 years of relevant compliance experience in portfolio/investment management or broader financial services.
• Experience at a firm registered as a Portfolio Manager, Investment Fund Manager, or Investment Dealer.
• Working knowledge of Canadian securities legislation and AML/KYC requirements.
• Experience reviewing KYC documentation and conducting compliance monitoring.
• Proven ability to manage multiple priorities with strong attention to detail.
• Professionalism, integrity, and ability to work independently in a collaborative team.

Responsibilities

• Administer and support day-to-day operation of the firm’s compliance program.
• Review KYC information and IPS to support compliance with suitability, regulatory obligations and firm policies.
• Conduct compliance monitoring activities (AML, employee personal trading, trade monitoring, communications reviews).
• Maintain compliance records and documentation per regulatory requirements and firm policies.
• Coordinate regulatory filings, examinations, audits, and information requests.
• Maintain conflicts of interest register and assist in reviewing and escalating conflict matters.
• Implement and improve compliance policies, procedures, and internal controls.
• Coordinate and deliver employee compliance training and develop educational materials.
• Lead or participate in compliance projects and process improvements.
• Engage in industry committees, conferences, webinars, and dev activities to stay current.

Skills

KYC reviews

AML monitoring

Regulatory reporting

Policy development

Education

Industry designations (e.g., CSC, CPH, CIM)

Tools

Microsoft Excel

CRM systems

Document management systems

Job description

Job Title: Compliance Specialist or Senior Compliance Specialist

KAI Asset Management, a portfolio management firm based in downtown Winnipeg, is seeking a Compliance Specialist or Senior Compliance Specialist to join our growing and collaborative team.

Position Summary

This position supports the day-to-day administration and ongoing effectiveness of the firm’s compliance program, including compliance monitoring and testing, KYC and suitability reviews, regulatory filings, recordkeeping, training, and regulatory examinations. The role also contributes to the continuous improvement of compliance policies, controls, and processes while supporting the firm in meeting its regulatory obligations and maintaining strong compliance practices.

This opportunity is well suited to a candidate who is looking to develop their compliance expertise and grow into a more senior role in the short term.

The position is ideally based in Winnipeg, Manitoba; however, qualified candidates located elsewhere in Canada will also be considered.

Key Responsibilities

• Administer and support the day-to-day operation of the firm's compliance program.
• Review KYC information and Investment Policy Statements (IPS) to support compliance with suitability requirements, regulatory obligations, and firm policies.
• Conduct compliance monitoring activities, including AML monitoring, employee personal trading, trade monitoring, communications reviews, and other regulatory compliance activities.
• Perform compliance testing and maintain compliance records, registers, and documentation in accordance with regulatory requirements and firm policies.
• Coordinate and support regulatory filings, examinations, audits, and information requests.
• Maintain the firm's conflicts of interest register and assist in the review, documentation, and escalation of conflict matters.
• Assist with the implementation and continuous improvement of compliance policies, procedures, and internal controls.
• Coordinate and deliver employee compliance training and develop compliance resources and educational materials.
• Lead or participate in compliance projects and process improvement initiatives.
• Participate in industry committees, conferences, webinars, and professional development activities to remain current on regulatory developments and industry best practices.
• Prepare compliance reports, analyses, and other documentation.
• Perform other compliance-related duties as assigned.

Qualifications

• A minimum of 5 years of relevant compliance experience within the portfolio management, investment management, wealth management, or broader financial services industry.
• Experience working at a firm registered as a Portfolio Manager, Investment Fund Manager, or Investment Dealer.
• Working knowledge of Canadian securities legislation, AML/KYC requirements, and industry compliance practices.
• Experience reviewing KYC documentation.
• Experience with compliance monitoring activities, including employee personal trading, trade monitoring, AML monitoring, and regulatory reporting.
• Strong analytical, organizational, and problem-solving skills with exceptional attention to detail.
• Ability to manage multiple priorities, exercise sound judgment, and work independently while contributing as part of a collaborative team.
• High degree of professionalism, integrity, discretion, and accountability.
• Proficiency with Microsoft Office applications, including Excel, Word, Outlook, and PowerPoint. Advanced proficiency in Microsoft Excel is an asset.
• Excellent written and verbal communication skills.
• Skills related to the company’s core values, including collaboration, innovation, and integrity.
• Reliable, consistent, and client-focused attitude.
• Completion of relevant industry courses or designations (e.g., CSC, CPH, CIM, or similar) is considered an asset.
• Experience using compliance management, portfolio management, CRM, or document management systems is considered an asset.

Conditions of Employment

• Must be legally eligible to work in Canada.
• This is a full-time, in-office position from Monday to Friday.