Mutual Funds Compliance Specialist — Hybrid

The Co-operators Group Limited; Guelph; Hybrid; CAD 50,000 - 84,000; Full time

Job summary

The Co-operators Group Limited is seeking an Associate Compliance Specialist, Mutual Funds. Hybrid role focusing on monitoring fund transactions for regulatory compliance and supporting Advisors with onboarding and training.

You will review daily activity, provide education on compliance, and collaborate with the Registrations team to facilitate advisor onboarding while advancing a strong compliance culture.

Qualifications

• Two years of experience in Mutual Funds.
• 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

• Review daily transactions to ensure compliance with Mutual Fund dealer requirements and regulatory rules.
• Identify compliance concerns and provide support, education and guidance to resolve issues.
• Conduct location audits, communicate expectations and submit progress reports.
• Coach Advisors, deliver training, set expectations and identify development opportunities.
• Liaise with the Registrations team to assist onboarding for new Advisors.

Skills

Mutual Funds

Regulatory compliance

Coaching & training

Communication skills

Education

Post-secondary education in a related discipline

Mutual Fund Licence

Branch Manager Compliance certification

Job description

The Co-operators Group Limited is seeking an Associate Compliance Specialist, Mutual Funds. Hybrid role focusing on monitoring fund transactions for regulatory compliance and supporting Advisors with onboarding and training.

You will review daily activity, provide education on compliance, and collaborate with the Registrations team to facilitate advisor onboarding while advancing a strong compliance culture.