Intern, Compliance

RPIA Capital Management; Toronto; On-site; CAD 41,000 - 49,000; Full time

Benefits offered by this job

Health, dental & vision insurance

Wellness credits

Employee assistance program

Mentorship program

Leadership skills training

Community events

Job summary

RPIA Capital Management in Toronto is seeking a full-time Intern, Compliance to join our Compliance team. You will support regulatory compliance program, internal controls, and risk management, working with cross-functional partners on regulatory monitoring, KYC/AML oversight, policy development, and review of marketing materials.

The role includes assisting in filings, maintaining records, preparing reports for the CCO and Director, and contributing to staff training.

Qualifications

• Pursuing a university or post-graduate degree with strong academic performance.
• Prior internship or professional experience in legal, compliance, or financial services environments (asset manager experience is a plus).
• Interest in Canadian investments industry and related regulations.

Responsibilities

• Support regulatory compliance program, internal controls and risk management practices.
• Assist with KYC/Suitability and AML oversight processes and documentation.
• Administer and maintain the compliance recordkeeping system and calendar, including regulatory filings.
• Review and assist in marketing material approvals and policy development.

Skills

Strong writing

Communication

MS 365 proficiency

Finance familiarity

Regulatory awareness

Education

University degree

Tools

SharePoint

Word

Excel

PowerPoint

Job description

We are currently seeking a full-time Intern, Compliance to join our Compliance team.

As a Compliance Intern, you will play an essential role in supporting RPIA's regulatory compliance program, internal controls, and risk management practices. Reporting directly to the Director, Compliance, you will work closely with the Compliance team and cross-functional partners on a variety of key compliance activities, including regulatory monitoring and filings, KYC/Suitability and AML oversight, compliance recordkeeping, policy development and maintenance, and the review of marketing materials. Your role will help strengthen RPIA's culture of control and oversight, support adherence to applicable regulatory requirements and best practices, and enable the Compliance team to effectively manage its ongoing regulatory and compliance responsibilities.

The duties and responsibilities of the Intern, Compliance include but are not limited to:

• Support and contribute to RPIA's regulatory compliance team, internal controls and risk management practices
• Work closely with the Compliance Team and cross functional teams on a variety of key compliance tasks and projects
• Support the implementation and oversight of securities regulation pertaining to Portfolio Managers, Investment Fund Managers and Exempt Market Dealers
• Monitor compliance with relevant laws and regulations including NI 31-103, 45-106, 81-101, 81-102, 81-105, 81-106, 81-107 and applicable Anti-Money Laundering("AML") and Privacy rules
• Assist in KYC/Suitability and AML oversight processes, including review of investor documentation and supplementary information requests
• Administer and manage the compliance recordkeeping system and compliance calendar, including regulatory filings schedule
• Assist in the review and approval of marketing material and sales related activities
• Participate in policy review, development and implementation
• Prepare and present compliance reporting to the Chief Compliance Officer (CCO) and Director, Compliance, as appropriate
• Support the Compliance Team in providing internal and external business partners with guidance on RPIA policies, procedures and relevant compliance matters
• Contribute to ongoing employee education, including development and delivery of staff training
• Support regulation filings, assist in the review and update to compliance policies and procedures, and maintain compliance documentation
• Escalate all instances of non-compliance as per RPIA policies
• Analyze the impact of changing regulations and industry best practice standards on current RPIA policies

Critical Competencies

• A strong writer and communicator with experience drafting and delivering formal documentation and summaries across functions
• Creative in approaching new methods to proactively maximize efficiency
• Proficient with Microsoft 365, including SharePoint, Word, Excel, PowerPoint
• Some work experience in the financial services industry preferred
• Experienced with legal or regulatory filings preferred

Requirements

• University or post-graduate degree (or currently pursuing one with strong academic performance and co-op term or internship availability at an accredited Canadian university)
• Prior internship or professional experience in legal, compliance, or financial services environments (experience with an asset manager is an asset);
• Interest in the Canadian investments industry and related regulations, or strong academic focus in commerce, economics, legal, political science

Additional Information

• Position Type: Full-Time Permanent
• Work Location: Toronto
• To learn more about life at RPIA, visit https://rpia.ca/
• Read our firm’s magazine, Voices of RPIA: https://online.flippingbook.com/view/859829658/
• This is to fill an open vacancy
• Artificial Intelligence may be used as part of this recruitment initiative
• Compensation Range: $4,000/month

RPIA is proud to be Great Place to Work Certified. What sets us apart?

• Exceptional single and family benefits package that includes health, dental and vision insurance plus additional Health Care Spending and Wellness credits.
• Employee and Family Assistance Program to support mental wellbeing extended to all family members in your household.
• Opportunities for professional and personal growth through:
• Cross-functional Mentorship Program
• Internally curated Leadership Skills training program
• Community outreach and monthly social events organized through our volunteer-led committees.

RPIA is an Equal Opportunity Employer

We believe in the power of diversity of thought, and we aspire to have an inclusive workplace that mirrors the fabric of our community. We strongly encourage applications regardless of race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability status. We are committed to providing an accessible and equitable application and hiring process and will make accommodations should you require it at any point. We encourage you to connect with us at [e-mail] if you require accommodation during the recruitment process.

Our culture is defined by our six core values: Client-First, Innovation, Excellence, Partnership, Integrity, and Giving back. Our clients often say the outstanding service we deliver is as important to them as the returns we achieve for them. With over 135 employees and approximately $21 billion in assets under management for a broad investor base of institutions and private clients, we proudly remain privately owned by employees who invest alongside our clients.