Job title: Senior Analyst, Compliance
Job type: Permanent
Emp type: Full-time
Industry: Banking
Functional Expertise: Banking & Financial Services
Skills: Bloomberg Coding Rules Controls
Salary type: Annual
Salary: Negotiable
Location: Flexible
Job published: 11/27/2023
Job ID: 32647

Job Description

Title:                Senior Analyst, Compliance

Location:         Quebec or Ontario

Reports to:      Chief Compliance Officer

 

 

Our client manages over $100 billion in assets comprised of general funds, segregated funds, mutual funds and external client accounts.

 

The compliance team collaborates with portfolio managers and leadership to ensure that activities comply with securities regulations as well as internal policies and procedures.

 

Reporting to the Chief Compliance Officer, your role will involve:

 

  • Assisting the team in ensuring that portfolios remain compliant with regulations and investment policies;
  • Collaborating on coding and maintaining investment constraints in Bloomberg;
  • Performing pre-trade and post-trade analysis;
  • Participating in the development of tools and analysis reports;
  • Contributing to the enhancement of operational process efficiency;
  • Participating in the preparation of internal analyses, notes, and reports;
  • Completing and submitting various reports to regulatory authorities;
  • Contributing to the writing and implementation of new compliance policies and procedures;
  • Collaborating in the review and approval of advertising materials in accordance with regulatory requirements in the investment sector;
  • Participating in monitoring employees' activities on social media in accordance with applicable regulatory requirements;
  • Contributing to the creation and deployment of training on regulations and the compliance program;
  • Participating in the execution of compliance tests and controls.

 

Requirements:

  • Minimum of 5 years of relevant experience in a similar position;
  • CSI courses or other courses in the Investment industry, an asset;
  • Knowledge of Bloomberg and compliance modules (CMGR, VMGR) or any other similar system, an asset;
  • Good knowledge of the financial industry, products, and understanding of the roles of different players in the industry (broker, portfolio manager, investment fund manager, custodian);
  • Good knowledge of securities regulations;
  • Strong proficiency in computer tools and software;
  • Excellent language skills in French and English, both oral and written, due to frequent interactions with English and French-speaking colleagues or internal partners across Canada;
  • Exceptional attention to detail and analytical skills to ensure the accuracy of deliverables;
  • Motivated, independent, and proactive in managing workload and professional development;
  • Strong communication and interpersonal skills, with the ability to interact professionally at all levels;
  • Process improvement skills and creativity in seeking innovative solutions;
  • Team player and motivated to help the team meet deadlines;
  • Strong organizational skills and the ability to prioritize work and meet multiple deadlines in a fast-paced environment.