Senior Compliance Analyst, Asset Management

Dayforce HCM; Southwestern Ontario; Hybrid; CAD 85,000 - 125,000; Full time

Benefits offered by this job

Incentives

Benefits

Pension matching

Job summary

Equitable, a Canadian mutual company, is seeking a Senior Compliance Analyst in Asset Management to support regulatory oversight, policy enhancements, and operations with a focus on securities, insurance, and AML regulations. You will interact with investment teams, fund managers, and regulators in a hybrid office setting in Waterloo, ON.

You will contribute to governance, risk management, and continuous improvement while partnering with cross-functional teams to ensure robust compliance

Qualifications

• University degree in Finance, Business, Economics, Risk Management, or related discipline.
• 3-5+ years of experience in investment compliance, audit, risk management, investment operations, or asset management.
• Strong understanding of securities regulation, investment products, governance frameworks, compliance monitoring, and regulatory obligations.
• Experience supporting compliance programs, regulatory reviews, examinations, filings, and ongoing compliance reporting activities.
• Advanced Excel skills for data analysis, reconciliation, interpretation, and trend reporting.
• Experience with portfolio management and compliance systems such as Finbourne, BlackRock Aladdin, SimCorp One, or Charles River IMS.
• Demonstrated ability to analyze compliance exceptions, identify risks, investigate issues, and recommend solutions.

Responsibilities

• Conduct compliance monitoring and testing to assess adherence to investment policies and regulatory requirements.
• Research and monitor regulatory developments, preparing summaries and implementation plans.
• Support enhancement of the investment compliance framework including policies, procedures, and controls.
• Produce monthly and quarterly compliance dashboards, KPI/KRI reporting, and management reports.
• Analyze investment holdings, transactions, and portfolio data; recommend actions to management.
• Perform daily trade supervision and support pre/post-trade compliance reviews and investigations.
• Maintain breach logs, track remediation, and report status to management.
• Support regulatory filings, registrations, surveys, and information requests with audit-ready records.
• Conduct due diligence reviews for internal/external fund managers and investment products.

Skills

Regulatory compliance

Investment compliance

OSFI/FINTRAC knowledge

Excel advanced

Regulatory reporting

Trade supervision

Due diligence

Stakeholder engagement

Project management

Education

University degree in Finance/Business/Economics

Tools

Finbourne

BlackRock Aladdin

SimCorp One

Charles River IMS

Job description

The Opportunity:

At Equitable, we believe great things happen when we work together. We're a Canadian mutual company driven by purpose - putting people first and helping Canadians protect today and prepare for tomorrow. If you're passionate about making a difference and growing your career in an inclusive and collaborative environment, we'd love to hear from you.

About Us

Our culture is built on care, passion and curiosity. We put people above all else, strive to be our best and welcome new ideas to deliver positive outcomes.

Role Overview

Join our Asset Management team as a Senior Compliance Analyst, Asset Management, where you will play a key role in supporting compliance with applicable regulations and governing bodies, including the Ontario Securities Act, FINTRAC, OSC guidelines, the Insurance Act, and OSFI Guidelines. Reporting to the Director, Asset Management Compliance, you will support day-to-day compliance operations, regulatory oversight, trade supervision, reporting, and investment compliance program enhancements while gaining broad exposure to investment management operations. This role offers the opportunity to work closely with investment teams, external fund managers, and regulatory requirements while contributing to a strong culture of governance, risk management, and continuous improvement.

Join us

Join one of the region’s top employers and be part of something that truly makes a difference.

Work Arrangements

This is a hybrid role. You will work in our office in Waterloo, ON a minimum of two (2) assigned, consecutive days every other week, plus a fifth (5th) assigned day per month. You are welcome to work from the office more than the minimum requirement and there may be some roles that are required to work in our office more than the minimum requirement.

What you’ll do:

• Conduct compliance monitoring and testing to assess adherence to investment policies, mandates, restrictions, regulatory requirements, and internal guidelines.
• Research and monitor regulatory developments, including securities legislation, insurance regulations, OSFI requirements, FINTRAC obligations, and AML requirements, preparing summaries, impact assessments, and implementation plans.
• Support the ongoing enhancement of the investment compliance framework, including policies, procedures, guidelines, internal controls, and compliance monitoring documentation.
• Produce monthly and quarterly compliance dashboards, KPI/KRI reporting, trend analysis, management reports, and committee reporting packages.
• Analyze investment holdings, transactions, personal trading activity, compliance exceptions, and portfolio data, making recommendations to management.
• Perform daily trade supervision and support pre-trade and post-trade compliance reviews, trade exception investigations, and trading report distribution.
• Maintain compliance breach and issue logs, track remediation activities, validate corrective actions, and prepare status reporting for management.
• Support regulatory filings, registrations, surveys, examinations, questionnaires, and information requests while maintaining compliance records and evidence for audits and reviews.
• Conduct due diligence reviews and oversight activities for internal and external fund managers, investment products, and funds, including onboarding, document collection, and periodic reviews.
• Assist with the development and maintenance of the investment compliance technology platform, including compliance monitoring, mandate testing, exception management, and investment oversight reporting within Finbourne and other portfolio management systems.

What you’ll bring:

• University degree in Finance, Business, Accounting, Economics, Risk Management, or a related discipline.
• 3-5+ years of experience in investment compliance, audit, risk management, investment operations, or asset management.
• Strong understanding of securities regulation, investment products, governance frameworks, compliance monitoring, and regulatory obligations.
• Experience supporting compliance programs, regulatory reviews, examinations, filings, and ongoing compliance reporting activities.
• Advanced Excel skills with the ability to perform complex data analysis, reconciliation, interpretation, and trend reporting.
• Experience with portfolio management and compliance systems such as Finbourne, BlackRock Aladdin, SimCorp One, or Charles River IMS.
• Demonstrated ability to analyze compliance exceptions, identify risks, investigate issues, and recommend practical solutions.
• Excellent written and verbal communication skills, including strong report‑writing, presentation, and stakeholder engagement abilities.
• Strong organizational skills with exceptional attention to detail, integrity, problem‑solving abilities, and the capacity to manage multiple priorities independently.
• Proactive and self‑motivated individual capable of working independently and taking ownership of assigned tasks and responsibilities.
• Demonstrates strong interpersonal and collaboration skills working effectively with various stakeholders to compliance objectives.
• A continuous improvement mindset and progress toward or completion of a professional designation such as CSC, CIM, CFA, CRCM, or another relevant credential is considered an asset.

What’s in it for you:

• Career Growth: Regular learning sessions and development opportunities
• Total Rewards: Incentive pay, annual salary reviews, employer‑paid benefits and pension matching
• Time Away: Competitive vacation plus one paid volunteer day each year
• Flexibility: Healthy work‑life balance with employee wellness always top of mind, complemented by a "dress for your day" approach

We're committed to fair pay and an inclusive, accessible hiring experience. If you need accommodations or alternative formats at any stage, just reach out to us at [e-mail]. We're happy to help.

If you're selected to move forward, our Talent Acquisition team will walk you through all the details of our total rewards program, so you know exactly what's included. This position is open and we are excited to find the right person to join our team. Your base pay will be based on your skills, qualifications, experience and education.

At Equitable, your resume will be reviewed by real people and all hiring decisions are made by our recruiters and hiring managers. AI tools may be used to support administrative and productivity tasks throughout the recruitment process, but we believe that evaluating experience, skills, and talent potential requires meaningful human interaction.

As part of our commitment to maintaining a secure and trusted workplace, candidates selected to move forward in the recruitment process will be required to complete a background screening in accordance with company policy.

Reports To:

Director, Asset Management Compliance

Department:

Legal and Compliance

Term:

Permanent Full-Time