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Added 10 mins ago
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As the Associate Compliance Specialist, Mutual Funds, you will monitor compliance and review trading reports to ensure transactions meet regulations. You will offer support to Advisors in…
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Associate Compliance Specialist, Mutual Funds
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As the Associate Compliance Specialist, Mutual Funds, you will monitor compliance and review trading reports to ensure transactions meet regulations. You will offer support to Advisors in…

Co-operators

Associate Compliance Specialist, Mutual Funds

Guelph, ON, Canada

Pay: Expected salary range $50,280 - $83,800
Job type: Full-time
Apply by: Oct 22, 2026
Posting language: English
Posted: Sep 22, 2026

Apply About employer

Applications open in a new tab.

Original job description

Company: CGL

Department: CFIS Compliance

Employment Type: Regular Full-Time

Work Model: Hybrid

Language: This role operates in English.

Additional Information: This role is currently vacant.

The Opportunity

We are a leading Canadian financial services co-operative committed to being a catalyst for a sustainable and resilient society and our team is essential to deliver on this strategy. That’s why we prioritize our people, to ensure we provide a strong culture and development opportunities which enables our team to thrive and to live our purpose. The best part is that you will work with people that care passionately about you, our clients, and our communities.

As the Associate Compliance Specialist, Mutual Funds, you will monitor compliance and review trading reports to ensure transactions meet regulations. You will offer support to Advisors in resolving compliance issues and provide onboarding expertise to facilitate learning.

How You Will Create Impact

Reviewing daily transactions and activities to ensure compliance with Mutual Fund dealer expectations and regulatory requirements.
Identifying compliance concerns and providing support, education and expertise to ensure issues are resolved in a timely manner.
Conducting location audits, communicating expectations and submitting reports to track progress.
Providing coaching to Advisors, delivering training, setting expectations and identifying development opportunities.
Liaise with Registrations team to assist with the onboarding process for new Advisors.

How You Will Succeed

You influence change and are committed to continuous improvement, in order to exceed client expectations.
You leverage critical thinking skills to identify problems and proactively propose solutions.
Your strong communication skills allow you to clearly convey messages.
You’re an effective team player who shares knowledge to support your peers.

What You Need To Know

You may travel occasionally.
You are required to have your own vehicle, valid driver’s license and insurance.
You will be subject to a Background check as a condition of employment, in the event you are the successful candidate.

To Join Our Team

You have two years of experience in Mutual Funds.
You have post-secondary education in a related discipline.
You have a Mutual Fund Licence and a Branch Manager Compliance certification.
You have advanced knowledge of Mutual Fund regulations and compliance guidelines for sales and transactions.
You have working knowledge of financial planning principles, sales, process and behaviour.

What’s in it for you?

Training and development opportunities to grow your career.
Flexible work options and paid time off to support your personal and family needs.
A holistic approach to your well-being, with physical and mental health programs and a supportive workplace culture.
Paid volunteer days to give back to your community.
In addition to our competitive salary and incentive programs, eligible employees also benefit from a comprehensive total rewards package including group retirement savings plans, pension and benefits (e.g., health and wellness, dental, disability and life coverage), mental health support and an employee assistance program.

#IN#

Salary information

Expected salary range $50,280 - $83,800

The salary amount for the successful candidate is determined by Co-operators in its discretion and will vary depending on several criteria including but not limited to: local market conditions, geography and relevant job-related factors such as knowledge, skills, qualification, experience and education.

Employees may also have the opportunity to participate in incentive programs and earn additional compensation tied to individual and/or business performance, or other business metrics.

Apply About employer

More about this job

Responsibilities

The Associate Compliance Specialist monitors daily transactions and trading reports to ensure adherence to mutual fund regulations and dealer expectations. They also provide coaching, training, and onboarding support to advisors while conducting location audits to resolve compliance concerns.

Requirements

Candidates must have at least two years of experience in mutual funds and hold a mutual fund license along with a branch manager compliance certification. A post-secondary education in a related discipline is required, along with advanced knowledge of regulatory compliance guidelines.

Skills

Compliance monitoring
Trading report review
Regulatory compliance
Mutual fund regulations
Advisor support
Onboarding
Location audits
Coaching
Training delivery
Critical thinking
Communication skills
Teamwork
Financial planning principles
Problem solving

Benefits

Training and development opportunities
Flexible work options
Paid time off
Physical and mental health programs
Paid volunteer days
Pension
Health and wellness benefits
Dental coverage
Disability coverage
Life insurance
Mental health support
Employee assistance program

Visa sponsorship

Not detected in the job text

Keywords

Mutual Funds
Compliance
Regulatory Requirements
Financial Services
Audits
Advisors
Onboarding
Financial Planning
Risk Management
Mutual Fund Licence
Reporting
Coaching
Transaction Review
Dealer Expectations

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