Senior Compliance Specialist

Mackenzie Investments; Toronto; Hybrid; CAD 70,000 - 90,000; Full time

Job summary

Mackenzie Investments is seeking a Compliance professional to oversee compliance programs related to fund trading. This role requires a minimum of two years in asset management and involves advising business partners, maintaining compliance policies, and supporting management reporting. Candidates will thrive in a supportive hybrid work environment, contributing to an inclusive workplace culture. The position offers an opportunity to develop valuable skills while ensuring adherence to regulatory standards.

Qualifications

• Minimum two years of asset management experience, most recently in a compliance or related role.
• Knowledge of fund trading and individual registrant conduct rules is an asset.
• Strong research, analytical, and critical thinking skills.

Responsibilities

• Maintain knowledge of regulatory requirements for fund trading compliance.
• Support the Director in enhancing the trading compliance programs.
• Provide advice to business partners and support audit reviews.

Skills

Analytical skills

Communication

Organizational skills

Education

Completion of Canadian Securities Course

Tools

Bloomberg CMGR

Bloomberg VMGR

Microsoft Word

Microsoft Excel

Microsoft PowerPoint

Job description

Job Description

Grade: P6

Referral Level: Level 1

Division: IGM-CPL

IGM Financial Inc. is one of Canada's leading diversified wealth and asset management companies with approximately $271 billion in total assets under management. The company provides a broad range of financial planning and investment management services to help more than two million Canadians meet their financial goals. Its activities are carried out principally through IG Wealth Management and Mackenzie Investments.

Under IGM Financial’s unique business model based on leading brands and multi-channel distribution strategy is Mackenzie Investments, founded in 1967. Mackenzie Investments is a holistic asset-management partner for thousands of Canadian financial advisors and the investors they support.

At Mackenzie Investments You Can Build Your Career with Confidence.

We have a vision and a strategy that will challenge the way business in this industry is done and help Canadians be successful in the ways that mean the most to them. As part of our team, you will do some of your best work, develop some of your most valuable skills and give back in ways that make a difference in the lives of Canadians. We are proud to be recognized as one of Canada’s Top Employers by Mediacorp Canada Inc. for empowering our employees with the tools to thrive, while also providing resources to ensure physical and mental wellness were put front and centre.

Join an unstoppable team that is embedded in continuous learning, understanding, and knowledge sharing. You will thrive in our supportive environment where you can indulge your curiosity to learn, while receiving the feedback you need to refine your skills and abilities. We are dedicated to offering a hybrid work environment when applicable.

Mackenzie Investments is a diverse workplace committed to doing business inclusively - this starts with having a representative workforce! We encourage applications from all qualified candidates that represent the diversity present across Canada – including racialized persons, women, Indigenous persons, persons with disabilities, 2SLGBTQIA+ community, gender diverse and neurodiverse individuals, as well as all who may contribute to the further diversification of ideas.

Role:Reporting to the Director, Compliance, this individual will work with the compliance team to manage the compliance programs for fund trading and individual registrant conduct.Areas of focus include, but are not limited to best execution, trade allocation, related investments, cross trades, soft dollars, proxy votes, gifts and entertainment, outside activities, and personal trades.

Responsibilities:

• Maintain knowledge of regulatory requirements and industry best practices for fund trading and individual registrant conduct compliance. These conflicts of interest include, but are not limited to best execution, trade allocation, related investments,cross trading, soft dollars, proxy voting, gifts and entertainment, outside activities, and personal trading.
• Support the Director in managing and enhancing the trading and conduct compliance programs which includes maintaining policies and procedures,monitoring, and testing.
• Assist the Director by providing regular input for management and board reporting as well as information for audit and regulatory reviews as needed.
• Provide advice to business partners including through responses to inquiries, being able to explain the “why”.
• Provide back up support for monitoring funds with prospectus and regulatory requirements using Bloomberg AIM.
• Collaborate with team members on team initiatives as needed.

Experience / Skills / Education:

• Minimum two years of asset management experience, most recently in acompliance or related role.
• Knowledge of fund trading and individual registrant conduct rules is an asset.
• Proficiency with Bloomberg CMGR and VMGR functions or similar compliance monitoring and rule-coding systems is an asset
• Strong research, analytical, and critical thinking skills with attention to detail.
• Strong communication skills with the ability to communicate effectively to individuals at all levels within the organization.
• Strong organizational skills with ability to prioritize and deal with interruptions while working within deadlines.
• Completion of Canadian Securities Course is an asset
• Proficiency with Microsoft applications such as Word, Excel, and PowerPoint

Please visit our career page by clicking on the following link: https://www.mackenzieinvestments.com/en/careers

We thank all applicants for their interest in Mackenzie Investments; however, only those candidates selected for an interview will be contacted.

Mackenzie Investments is an accessible employer committed to providing a barrier free recruitment experience. If you require an accommodation or this information in an alternate format at any stage of the recruitment process, please reach out to the Talent Acquisition team who will work with you to meet your needs.

Please apply by July 2, 2025. S2

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