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Compliance Manager

Compliance Manager

Apex SystemsToronto, ON
9 days ago
Job type
  • Full-time
  • Quick Apply
Job description

Job# : 2070623

Job Description :

Job Title : Compliance Manager (1-Year Contract)

Location : Downtown Toronto

This role :

  • Executes First Line compliance monitoring, reporting, and control execution.
  • Manages / supports large / complex compliance programs / frameworks / projects / initiatives to ensure compliance risks are appropriately identified, risk assessed, mitigated, and regulations adhered to.
  • Supports the implementation of final laws, rules, and regulatory guidance within GAM Canada.
  • Supports business change by assessing the impact on regulatory compliance and associated monitoring.

Key Accountabilities :

Mandate Compliance :

  • Execute the Mandate Compliance function, including automated pre and post-trade alert / warning monitoring using the Charles River Order Management System.
  • Code mandate compliance rules associated with new and / or updated fund / account information.
  • Execute manual monitoring of regulatory and / or fund / account requirements.
  • Review annual prospectus renewal information and assess the impact of changes on the monitoring executed.

    • Personal Trade Monitoring :

  • Manage and execute the personal trade monitoring program using the Personal Trading Application (PTA).
  • Onboard and offboard GAM access persons to PTA.
  • Review pre-clearance trade submissions and breaches.
  • Review external broker statements.
  • Manage the annual certification of accounts by GAM access persons.
  • Provide quarterly reporting to the Chief Compliance Officer (CCO) and the Ultimate Designated Person (UDP) on violations and trading volumes.

    • Gifts & Entertainment (G&E) Monitoring :

  • Leverage information in the Enterprise tool to review logged G&E and confirm compliance with limits.
  • Report instances where limits have been exceeded to the CCO and UDP.

    • Liquidity Management :

  • Conduct an annual fund liquidity ranking using methodology provided by GAM Product.
  • Execute annual stress tests using scenarios provided by GAM Product and report results.

    • Filings – Regulatory & Exchange :

  • Provide regular TSX reporting required for GAM ETFs.
  • Prepare Annual SEDAR 45-106 Filings for purchase transactions completed in the exempt market.
  • Support 2nd Line Compliance in completing the annual OSC Risk Assessment Questionnaire.

    • Certifications :

  • Work with the Institutional Client Service Team, Investment Team, and Traders to complete regular institutional client compliance certifications.
  • Facilitate the annual related registrant identification and filing as required.

    • Business Partner Engagement :

  • Support business leaders in the effective implementation, maintenance, and administration of the 1st Line compliance program.
  • Collaborate with other areas of the bank to plan and coordinate compliance-related activities.
  • Review and assess new business initiatives in terms of compliance-related matters / implications.
  • Support the business in terms of new / expanded use of derivatives, assessing the impact on regulatory compliance and associated monitoring.

    • Committee Participation :

  • Participate in committees to understand business / product changes and provide feedback on the impact on regulatory and fund / account monitoring.
  • Perform gap analysis to identify process changes required to comply with new requirements.

    • Issue Management :

  • Assess the impact of business issues and regulatory reviews on Mandate Compliance processes and controls.
  • Report and remediate Compliance Issues impacting Mandate Compliance monitoring or control execution.

    • Reporting :

  • Prepare conflicts of interest-related reporting for 2nd Line Compliance review and presentation to the Investment Review Committee (IRC).

    • Qualifications :

  • Typically between 3-5 years of experience in Asset Management performing a compliance-related function.
  • Post-secondary degree in a related field or an equivalent combination of education and experience.
  • Industry certifications or designations (, CFA, MBA) are an asset.
  • In-depth knowledge of derivatives is an asset.
  • Advanced critical thinking and problem-solving abilities.
  • High attention to detail.
  • Understanding of regulatory compliance and its role within a broader risk management framework.
  • Knowledge of Charles River and / or other order management systems (, Bloomberg, Aladdin).
  • Ability to multi-task, work independently, prioritize workload, and meet deadlines.
  • Strong verbal and written communication skills.
  • Ability to build effective relationships with internal senior stakeholders and collaborate with cross-functional teams.
  • Strong project management and organizational skills.
  • Proficiency in Microsoft Word, Excel, PowerPoint, and other standard database tools.

    • EEO Employer

    Apex Systems is an equal opportunity employer. We do not discriminate or allow discrimination on the basis of race, color, religion, creed, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), age, sexual orientation, gender identity, national origin, ancestry, citizenship, genetic information, registered domestic partner status, marital status, disability, status as a crime victim, protected veteran status, political affiliation, union membership, or any other characteristic protected by law. Apex will consider qualified applicants with criminal histories in a manner consistent with the requirements of applicable law. If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation in using our website for a search or application, please contact our Employee Services Department at or 844-463-6178.

    Apex Systems is a world-class IT services company that serves thousands of clients across the globe. When you join Apex, you become part of a team that values innovation, collaboration, and continuous learning. We offer quality career resources, training, certifications, development opportunities, and a comprehensive benefits package. Our commitment to excellence is reflected in many awards, including ClearlyRated's Best of Staffing® in Talent Satisfaction in the United States and Great Place to Work® in the United Kingdom and Mexico.

    Apex Benefits Overview :   Apex offers a range of supplemental benefits, including medical, dental, vision, life, disability, and other insurance plans that offer an optional layer of financial protection. We offer an ESPP (employee stock purchase program) and a 401K program which allows you to contribute typically within 30 days of starting, with a company match after 12 months of tenure. Apex also offers a HSA (Health Savings Account on the HDHP plan), a SupportLinc Employee Assistance Program (EAP) with up to 8 free counseling sessions, a corporate discount savings program and other discounts. In terms of professional development, Apex hosts an on-demand training program, provides access to certification prep and a library of technical and leadership courses / books / seminars once you have 6+ months of tenure, and certification discounts and other perks to associations that include CompTIA and IIBA. Apex has a dedicated customer service team for our Consultants that can address questions around benefits and other resources, as well as a certified Career Coach. You can access a full list of our benefits, programs, support teams and resources within our ‘Welcome Packet’ as well, which an Apex team member can provide.

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    Manager Compliance • Toronto, ON