Marketing Governance Associate — Compliance & Regulation

TD; Canada; On-site; CAD 76,000 - 116,000; Full time

Job summary

A leading investment management firm in Toronto seeks an Associate for Marketing Governance. The role involves reviewing sales communications to ensure compliance with regulations and internal policies while providing support for both retail and institutional channels. Candidates should have 4+ years in compliance or regulatory risk management and excellent communication abilities. Strong attention to detail is essential, and proficiency in Microsoft 365 is required. Join a dynamic team that values growth and diversity.

Benefits

Health and well-being benefits

Savings and retirement programs

Career development opportunities

Competitive salary

Qualifications

• 4+ years of experience in compliance, legal, internal audit, or regulatory risk management.
• Strong knowledge of Canadian and global regulatory requirements for sales communications.
• Proficient in written and verbal communication.

Responsibilities

• Review sales communications for compliance with regulations and policies.
• Maintain surveillance logs and prepare reports on findings.
• Collaborate with partners to support compliant sales communications.

Skills

Compliance knowledge

Regulatory risk management

Strong communication skills

Attention to detail

Collaboration

Education

University degree/diploma

Canadian Securities Course (CSC)

Conduct and Practices Handbook (CPH)

Tools

Microsoft 365

Job description

A leading investment management firm in Toronto seeks an Associate for Marketing Governance. The role involves reviewing sales communications to ensure compliance with regulations and internal policies while providing support for both retail and institutional channels. Candidates should have 4+ years in compliance or regulatory risk management and excellent communication abilities. Strong attention to detail is essential, and proficiency in Microsoft 365 is required. Join a dynamic team that values growth and diversity.