Senior Compliance Manager – Mutual Funds

TechAlliance of Southwestern Ontario, London Economic Development Corporation; Winnipeg; On-site; CAD 60,000 - 100,000; Part time

Benefits offered by this job

Career development

Health & Wellness benefits

Time off and volunteer days

Financial security programs

Rewards and recognition

Job summary

LP Financial Planning Services Ltd., a Winnipeg-based mutual fund dealer, seeks a Compliance Branch Manager to lead regulatory obligations and compliance activities. You will monitor registrations, review materials, and prepare for audits while collaborating with the Investment Product Committee.

The role requires a post-secondary degree in business or finance and 5+ years in mutual fund compliance, with licenses or equivalent experience.

Qualifications

• Post secondary degree or diploma in business or finance.
• 5 years of progressive compliance experience within mutual fund or securities.
• Deep knowledge of mutual fund regulation.
• 2+ years licensed as a Dealing Representative or Branch Manager at an MFD or as a Registered/Investment Representative or Supervisor at an ID.
• Industry courses such as IFIC/CSC, Branch Managers’ Course, or Partners, Directors and Senior Officers.

Responsibilities

• Provide expertise and advice on regulatory compliance obligations to business partners and advisors.
• Conduct ongoing compliance monitoring activities of mutual fund registrants at Tier 1 or 2 level.
• File NRD registration applications, notices and terminations.
• Collaborate on updates to policy and procedures to meet CIRO rules.
• Work with Investment Product Committee to fulfil KYP obligations.
• Review marketing materials and co-operative marketing requests.
• Prepare for and handle CIRO/internal audit examinations.
• Occasionally travel to branches for reviews, interviews or training.
• Develop knowledge of provincial and federal regulations and CIRO rules.
• Demonstrate high technical and business acumen to manage compliance risk.

Skills

Regulatory compliance

Analytical skills

Relationship building

Communication (oral & written)

MS Office proficiency

Regulatory knowledge (CIRO)

Attention to detail

Time management

Ethics & background checks

Education

Post-secondary degree or diploma in business or finance

Tools

MS Office (Excel, PowerPoint, SharePoint, Word)

Job description

LP Financial Planning Services Ltd., a Winnipeg-based mutual fund dealer, seeks a Compliance Branch Manager to lead regulatory obligations and compliance activities. You will monitor registrations, review materials, and prepare for audits while collaborating with the Investment Product Committee.

The role requires a post-secondary degree in business or finance and 5+ years in mutual fund compliance, with licenses or equivalent experience.