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Compliance Officer - Asset Management Sector (Toronto)Scotiabank • Winnipeg, Canada
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Compliance Officer - Asset Management Sector (Toronto)

Compliance Officer - Asset Management Sector (Toronto)

Scotiabank • Winnipeg, Canada
17 days ago
Job type
  • Full-time
Job description
Overview Join 1832 Asset Management as a Senior Compliance Officer in Toronto, Ontario, focusing on compliance oversight and policy implementation within asset management.

In this pivotal role, you will work with the Asset Management Compliance team to uphold compliance standards. Key tasks include conducting compliance inquiries, developing strong stakeholder relationships, and enhancing compliance policies. Your expertise will guide the compliance program, ensuring adherence to industry regulations and best practices.

Responsibilities

Conduct compliance oversight of trading and portfolio management

Investigate compliance breaches and escalate as needed

Build trusted relationships with portfolio managers and stakeholders

Identify compliance gaps and propose enhancements

Assist with compliance reporting for oversight committees

Qualifications

4+ years in financial services, preferably in mutual funds

Required Diploma or Degree

Solid knowledge of regulatory instruments

Proficiency in Excel is a must

Familiarity with compliance programming is beneficial

Drive impactful compliance initiatives within 1832 Asset Management and enhance your career in this essential role.

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Compliance Officer - Asset Management Sector (Toronto) • Winnipeg, Canada

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