Hybrid: Investment Funds Compliance Analyst

Harbourfront Wealth Management; Burlington; Hybrid; CAD 90,000 - 110,000; Full time

Benefits offered by this job

Hybrid work model

Job summary

Willoughby Asset Management Inc. in Burlington, Ontario, is seeking a Compliance Analyst to join a hybrid team responsible for regulatory compliance across Canadian requirements. You will monitor developments, support regulatory filings, and assist in audits and policy enforcement.

The successful candidate will bring at least 5 years in investment fund compliance, strong analytical skills, attention to detail, and excellent communication to liaise with internal teams and service providers.

Qualifications

• Minimum 5 years compliance experience within Investment Fund Management.
• Good understanding of investment industry and regulations.
• Strong analytical and problem-solving skills.
• Ability to multi-task and prioritize in a fast-paced environment.
• Attention to detail and organizational skills.
• Excellent communicator and creative thinking skills, always looking for process efficiencies.

Responsibilities

• Monitor regulatory developments from CSA, BCSC, CIRO and other applicable authorities.
• Assist in the preparation and filling of regulatory reports.
• Assist in maintaining and enforcing of compliance policies and procedures.
• Support with the oversight of portfolio management practices, including but not limited to monitoring fund trading activity and adherence to the investment policy statement.
• Review fund marketing materials and investor communications.
• Liaise with advisors for fund, trade, or client related matters.
• Assist with internal compliance audits and document testing.
• Assist with compliance activities for fund changes, including but not limited to launches and terminations.
• Support the CCO in maintaining and updating Conflict of Interest related documents, logs and materials at the firm.
• Sales practices oversight and reviews as required.
• Support the development and delivery of compliance training to staff.
• Liaise with service providers as required.
• Monitor internal mailboxes and respond to inquiries as required.
• Ad-hoc projects to meet business needs.

Skills

Analytical thinking

Regulatory knowledge

Problem solving

Multitasking

Attention to detail

Communication

Creative thinking

Job description

Willoughby Asset Management Inc. in Burlington, Ontario, is seeking a Compliance Analyst to join a hybrid team responsible for regulatory compliance across Canadian requirements. You will monitor developments, support regulatory filings, and assist in audits and policy enforcement.

The successful candidate will bring at least 5 years in investment fund compliance, strong analytical skills, attention to detail, and excellent communication to liaise with internal teams and service providers.