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Added 5 mins ago
J
Consultant, Value and Risk Advisory
JLL
Vancouver, BC
- Full-time
We are currently seeking an individual for the role of Consultant (or Senior Consultant). This role would report directly to Vancouver leadership – but with the opportunity to interact and…
Added 5 mins ago
J
Responsable Santé, Sécurité, Sûreté et Environnement / Health, Safety, Security, and Environment Lead
JLL
Bromont, QC · Montreal, QC · Sherbrooke, QC · CAN-CLIENT Bromont-IBM - Bromont
- Full-time
Added 5 mins ago
RB
Senior Project Manager-Regulatory, Risk Remediation
Royal Bank of Canada
Toronto, ON
- Full-time
The Senior Project Manager-Regulatory Risk Remediation is responsible for leading and coordinating regulatory risk management initiatives across the organization. This role partners with…
Added 5 mins ago
RB
Senior Manager, Risk Management & Compliance
Royal Bank of Canada
Halifax, NS · Toronto, ON
- Full-time
The Senior Manager, Risk Management & Compliance is responsible for developing and implementing global risk management reports, systems, and processes to minimize investments risks. Applies…
Added 19 mins ago
AH
Registered Nurse
Alberta Health Services
Calgary, AB · Greater Calgary Metropolitan Area
- Part-time
…committees, motivation committees, participation in ACH initiatives, senior skill certification and charge nurse certification. As the RN, you will provide ongoing assessment, care,…
Added 19 mins ago
AH
Physiotherapist II
Alberta Health Services
St. Albert, AB
- Full-time
…also be able to share patient information real time with these senior clinicians to assist you in providing high quality…
Added 20 mins ago
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Managing Director - Private Pension Plans
Office of the Superintendent of Financial Institutions Canada
Toronto, ON
- Full-time
Leadership experience at the senior management (2*) level in managing a team
Added 20 mins ago
TN
Mortgage Agent
True North Mortgage
Windsor, ON
- Full-time
Training - We have a great training program: Dedicated senior members of our team will provide you with the training and tools needed to become a top Mortgage Broker. They have been where…
Added 20 mins ago
TN
Mortgage Agent
True North Mortgage
Langley (District), BC · Langley, British Columbia
- Full-time
Training - We have a great training program: Dedicated senior members of our team will provide you with the training and tools needed to become a top Mortgage Broker. They have been where…
Added 20 mins ago
TN
Mortgage Agent
True North Mortgage
Bedford, NS
- Full-time
Training - We have a great training program: Dedicated senior members of our team will provide you with the training and tools needed to become a top Mortgage Broker. They have been where…
Added 20 mins ago
TN
Mortgage Agent
True North Mortgage
Calgary, AB
- Full-time
Training - We have a great training program: Dedicated senior members of our team will provide you with the training and tools needed to become a top Mortgage Broker. They have been where…
Added 20 mins ago
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Mortgage Agent
True North Mortgage
Burnaby, BC
- Full-time
Training - We have a great training program: Dedicated senior members of our team will provide you with the training and tools needed to become a top Mortgage Broker. They have been where…
Added 34 mins ago
MG
Accounting Manager
Mikisew Group
Enoch, AB
- Full-time
Added 34 mins ago
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Contract Senior Operator
Whitecap Resources Inc.
Grande Prairie, AB
- Full-time
We are currently seeking an experienced Senior Contract Operator to support operations in the Karr North and Karr East areas. The successful candidate will possess extensive oil and gas…
Added 34 mins ago
QP
Manager, AI Delivery
QuadReal Property Group
Calgary, AB · Vancouver, BC · Toronto, ON
- Full-time
…workflows connected to our core platforms. The team is small and senior, spanning AI architecture, engineering, business analysis, program management and business engagement, and it moves…
Added 34 mins ago
E
Senior Project Manager IT - SaaS
Equisoft
Montreal, QC · Quebec, QC · HYBRID - Montreal, Canada
- Full-time
Role: The Senior Project Manager IT - SaaS reports to the AVP, Product Management and works closely with multiple product team and 3 other AVP. The incumbent will ensure that the projects…
Added 49 mins ago
NA
Account Manager – Architecture Services B8C
NHS Ayrshire & Arran
AB · Mountain View County, AB
- Full-time
Work as a senior leader in the Digital Services Operations senior management team and Digital Services senior management team.
Added 50 mins ago
C
Finance Operations Lead
Co-op
Saskatoon, SK
- Full-time
…function. This role offers the opportunity to work closely with senior Finance leaders to enhance collaboration, elevate execution, and support the delivery of FCL’s strategic…
Added 50 mins ago
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Associate Vice President, Corporate Finance
Co-op
Saskatoon, SK
- Full-time
…Corporate Accounting, Director, Financial Planning & Analysis, Senior Manager, Treasury & Credit and Manager, Risk & Insurance. You'll work closely with the Vice President Finance and…
Added 1 hour ago
AC
Business Development Officer – AI & Innovation
Alexander College
Burnaby, BC
- Full-time
Prepare reports and strategic recommendations for the senior leadership team.
Added 1 hour ago
CC
Pharmacy Assistant, L1
CareRx Corporation
Regina, SK
- Full-time
Collaborative Team: Work with colleagues who share a passion for shaping the future of senior care.
Added 1 hour ago
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Senior Embedded Software Designer
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Toronto, ON
- Full-time
We're on the hunt for a top-tier Senior Embedded Software Engineer. Your focus will be on software development and maintenance required for both space and ground-based assets for a growing…
Added 1 hour ago
WI
Senior Conveyance Engineer – Civil Engineering
WSP in Canada
Mississauga, ON
- Full-time
…the infrastructure that communities rely on every day. As a Senior Conveyance Engineer, you will lead the planning, design, and delivery of municipal water, wastewater, and stormwater…
Added 1 hour ago
WI
Senior Conveyance Engineer – Civil Engineering
WSP in Canada
Markham, ON
- Full-time
…the infrastructure that communities rely on every day. As a Senior Conveyance Engineer, you will lead the planning, design, and delivery of municipal water, wastewater, and stormwater…
Added 1 hour ago
WI
Senior Conveyance Engineer – Civil Engineering
WSP in Canada
Vaughan, ON
- Full-time
…the infrastructure that communities rely on every day. As a Senior Conveyance Engineer, you will lead the planning, design, and delivery of municipal water, wastewater, and stormwater…

Equitable

Senior Compliance Analyst, Asset Management

Waterloo, ON, Canada

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Job details

Experience: 3-5+ years of experience in investment compliance, audit, risk management, investment operations, or asset management.
Posting language: English
Posted: Oct 2, 2026

Original job description

At Equitable, we believe work should be a place where you feel supported, inspired, and empowered to grow. In our caring and collaborative environment, your curiosity is encouraged, your passion is recognized, and your contributions truly matter. Together, we create meaningful impact, for our clients, our communities, and each other.

The Opportunity:  At Equitable, we believe great things happen when we work together. We’re a Canadian mutual company driven by purpose - putting people first and helping Canadians protect today and prepare for tomorrow. If you’re passionate about making a difference and growing your career in an inclusive and collaborative environment, we’d love to hear from you.

Our culture is built on care, passion and curiosity. We put people above all else, strive to be our best and welcome new ideas to deliver positive outcomes.

Join our Asset Management team as a Senior Compliance Analyst, Asset Management, where you will play a key role in supporting compliance with applicable regulations and governing bodies, including the Ontario Securities Act, FINTRAC, OSC guidelines, the Insurance Act, and OSFI Guidelines. Reporting to the Director, Asset Management Compliance, you will support day-to-day compliance operations, regulatory oversight, trade supervision, reporting, and investment compliance program enhancements while gaining broad exposure to investment management operations. This role offers the opportunity to work closely with investment teams, external fund managers, and regulatory requirements while contributing to a strong culture of governance, risk management, and continuous improvement.

Join one of the region’s top employers and be part of something that truly makes a difference.

Work Arrangements: This is a hybrid role. You will work in our office in Waterloo, ON a minimum of two (2) assigned, consecutive days every other week, plus a fifth (5th) assigned day per month. You are welcome to work from the office more than the minimum requirement and there may be some roles that are required to work in our office more than the minimum requirement.

What you’ll do:

Conduct compliance monitoring and testing to assess adherence to investment policies, mandates, restrictions, regulatory requirements, and internal guidelines.
Research and monitor regulatory developments, including securities legislation, insurance regulations, OSFI requirements, FINTRAC obligations, and AML requirements, preparing summaries, impact assessments, and implementation plans.
Support the ongoing enhancement of the investment compliance framework, including policies, procedures, guidelines, internal controls, and compliance monitoring documentation.
Produce monthly and quarterly compliance dashboards, KPI/KRI reporting, trend analysis, management reports, and committee reporting packages.
Analyze investment holdings, transactions, personal trading activity, compliance exceptions, and portfolio data, making recommendations to management.
Perform daily trade supervision and support pre-trade and post-trade compliance reviews, trade exception investigations, and trading report distribution.
Maintain compliance breach and issue logs, track remediation activities, validate corrective actions, and prepare status reporting for management.
Support regulatory filings, registrations, surveys, examinations, questionnaires, and information requests while maintaining compliance records and evidence for audits and reviews.
Conduct due diligence reviews and oversight activities for internal and external fund managers, investment products, and funds, including onboarding, document collection, and periodic reviews.
Assist with the development and maintenance of the investment compliance technology platform, including compliance monitoring, mandate testing, exception management, and investment oversight reporting within Finbourne and other portfolio management systems.

What you’ll bring:

University degree in Finance, Business, Accounting, Economics, Risk Management, or a related discipline.
3-5+ years of experience in investment compliance, audit, risk management, investment operations, or asset management.
Strong understanding of securities regulation, investment products, governance frameworks, compliance monitoring, and regulatory obligations.
Experience supporting compliance programs, regulatory reviews, examinations, filings, and ongoing compliance reporting activities.
Advanced Excel skills with the ability to perform complex data analysis, reconciliation, interpretation, and trend reporting.
Experience with portfolio management and compliance systems such as Finbourne, BlackRock Aladdin, SimCorp One, or Charles River IMS.
Demonstrated ability to analyze compliance exceptions, identify risks, investigate issues, and recommend practical solutions.
Excellent written and verbal communication skills, including strong report-writing, presentation, and stakeholder engagement abilities.
Strong organizational skills with exceptional attention to detail, integrity, problem-solving abilities, and the capacity to manage multiple priorities independently.
Proactive and self-motivated individual capable of working independently and taking ownership of assigned tasks and responsibilities.
Demonstrates strong interpersonal and collaboration skills working effectively with various stakeholders to compliance objectives.
A continuous improvement mindset and progress toward or completion of a professional designation such as CSC, CIM, CFA, CRCM, or another relevant credential is considered an asset.

What’s in it for you:

Career Growth: Regular learning sessions and development opportunities 
Total Rewards: Incentive pay, annual salary reviews, employer-paid benefits and pension matching 
Time Away: Competitive vacation plus one paid volunteer day each year
Flexibility: Healthy work-life balance with employee wellness always top of mind, complemented by a “dress for your day” approach

We’re committed to fair pay and an inclusive, accessible hiring experience. If you need accommodations or alternative formats at any stage, just reach out to us at careers@equitable.ca. We’re happy to help.

If you’re selected to move forward, our Talent Acquisition team will walk you through all the details of our total rewards program, so you know exactly what’s included. This position is open and we are excited to find the right person to join our team. Your base pay will be based on your skills, qualifications, experience and education.

At Equitable, your resume will be reviewed by real people and all hiring decisions are made by our recruiters and hiring managers. AI tools may be used to support administrative and productivity tasks throughout the recruitment process, but we believe that evaluating experience, skills, and talent potential requires meaningful human interaction.

As part of our commitment to maintaining a secure and trusted workplace, candidates selected to move forward in the recruitment process will be required to complete a background screening in accordance with company policy.

Reports To: Director, Asset Management Compliance
Department: Legal and Compliance
Term: Permanent Full-Time

This position is open and we are excited to find the right person to join our team.

As part of the recruitment process, you will need to go through background screening, as per our company policy.

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More about this job

Responsibilities

The Senior Compliance Analyst will support day-to-day compliance operations, including regulatory oversight, trade supervision, and investment compliance program enhancements. They will also conduct monitoring, prepare regulatory reports, and assist in the maintenance of investment compliance technology platforms.

Requirements

Candidates must possess a university degree in a relevant field and 3-5+ years of experience in investment compliance, audit, or risk management. Strong knowledge of securities regulations and proficiency in portfolio management systems and data analysis are required.

Skills

Compliance monitoring
Regulatory reporting
Investment compliance
Risk management
Trade supervision
Data analysis
Policy development
Regulatory filings
Due diligence
Finbourne
Excel
Securities regulation
AML requirements
KPI reporting
Stakeholder engagement
Investment operations

Benefits

Incentive pay
Annual salary reviews
Employer-paid benefits
Pension matching
Competitive vacation
Paid volunteer day
Career development opportunities

Visa sponsorship

Not detected in the job text

Keywords

Compliance
Asset Management
Securities Act
FINTRAC
OSC
OSFI
AML
Investment Compliance
Trade Supervision
Finbourne
BlackRock Aladdin
SimCorp One
Charles River IMS
KPI
KRI
Governance
Risk Management
Due Diligence
Regulatory Filings
Portfolio Management
CSC
CIM
CFA
CRCM
Data Analysis
Internal Controls
Investment Policies
Trend Analysis
Audit
Reporting

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