Officer, Compliance - Institutional
Robertson & Company Ltd.Greater Toronto Area, Canada3 days ago
Job type
- Full-time
Job descriptionMust have prior experience in institutional compliance within investment management or asset management. Minimum 4 years of experience in a compliance function within institutional asset management, investment management, or a similar regulated financial environment. Solid understanding of Canadian and U.S. securities regulations applicable to investment managers and institutional clients. Proficiency in compliance monitoring tools such as SimCorp Dimension or Charles River would be an asset. Strong analytical skills and attention to detail, particularly in reviewing documentation and monitoring trade activity. Ability to interpret and implement new regulatory requirements within business processes. Excellent communication and interpersonal skills, with the ability to provide compliance guidance to internal teams. Strong organizational skills with the ability to manage multiple priorities in a fast-paced environment. A university degree in finance, economics, business, or a related field; CFA designation or progress toward it would be an asset.
Job Title :
Officer, Compliance - Institutional
Location :
Toronto, ON or Calgary, AB
Contract - 18 Months
The Client :
Our client is a well-established, investment firm in Canada. The firm is dedicated to delivering long-term financial success for its clients and is known for its collaborative, high-performance culture. They are seeking a Compliance Officer to join their team, focusing on compliance oversight for business development, onboarding, and institutional client management.
What you will achieve in this role :
- Ensure regulatory compliance across institutional business development, client onboarding, and ongoing client relationship management.
- Review and approve marketing materials, prospecting documents, and client proposals to ensure alignment with regulatory requirements.
- Oversee trade supervision and compliance monitoring using tools such as SimCorp Dimension and other internal systems.
- Maintain and update institutional client investment restrictions, ensuring compliance with internal policies and regulatory guidelines.
- Support regulatory reporting obligations, including U.S. filings such as Form ADV and Form PF.
- Conduct periodic testing and audits to assess adherence to internal policies, regulatory frameworks, and industry best practices.
- Monitor electronic communications and escalate any compliance concerns.
- Continuously update policies and procedures to align with evolving regulatory requirements.
- Provide training and compliance guidance to internal teams, ensuring best practices are upheld across institutional operations.
- Collaborate with legal and risk management teams to enhance firm-wide compliance initiatives.
What you must bring to this role :
Note : Salary will be determined based on relevant experience and skills.
Only those who are qualified will be contacted.
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Compliance Officer • Greater Toronto Area, Canada