Mutual Funds Compliance Associate | Hybrid | Training & Growth

Co-operators; Mississauga; Hybrid; CAD 50,000 - 84,000; Full time

Benefits offered by this job

Training & development

Flexible work options

Total rewards package

Job summary

Co-operators is seeking an Associate Compliance Specialist, Mutual Funds, in a hybrid role based in Mississauga. You will monitor transactions for regulatory adherence, support Advisors with onboarding and resolve compliance issues, while contributing to learning and development programs.

With two years in Mutual Funds and relevant licences, you will apply advanced regulatory knowledge to guide sales and transactions, and collaborate with teams to drive compliance excellence.

Qualifications

• Two years of experience in Mutual Funds.
• Post-secondary education in a related discipline.
• Mutual Fund Licence and Branch Manager Compliance certification.
• Advanced knowledge of Mutual Fund regulations and compliance guidelines for sales and transactions.
• Working knowledge of financial planning principles, sales, process and behaviour.

Responsibilities

• Monitor compliance and review trading reports to ensure regulatory alignment.
• Provide onboarding expertise and support to Advisors to facilitate learning.
• Conduct location audits and report progress to stakeholders.
• Coach Advisors, deliver training, set expectations and identify development opportunities.
• Liaise with Registrations team to assist with Advisor onboarding.

Skills

Mutual funds experience

Regulatory knowledge

Communication skills

Team player

Education

Post-secondary education

Mutual Fund Licence

Branch Manager Compliance certification

Job description

Co-operators is seeking an Associate Compliance Specialist, Mutual Funds, in a hybrid role based in Mississauga. You will monitor transactions for regulatory adherence, support Advisors with onboarding and resolve compliance issues, while contributing to learning and development programs.

With two years in Mutual Funds and relevant licences, you will apply advanced regulatory knowledge to guide sales and transactions, and collaborate with teams to drive compliance excellence.