Compliance Specialist
- Mississauga, ON, Canada
$60,000 to $65,000 CAD / year · Full-time
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Job details
- Pay
- $60,000 to $65,000 CAD / year
- Job type
- Full-time
- Apply by
- Experience
- 2+ years of compliance and administrative experience within Canadian asset management (IFM/PM)
- Posting language
- English
- Posted
Original job description
We’re supporting a growing investment management firm that’s building their compliance team. This role is ideal for someone who’s eager to learn, detail-oriented, and looking to grow their compliance career in a highly collaborative, fast-paced environment. You’ll report into senior leadership and gain exposure to both day-to-day tasks and larger compliance projects across investment, operations, and sales/marketing areas.
If you enjoy digging into details, making sure processes align with regulations, and working alongside a committed team, this could be a strong next step for you.
What You’ll Do
- Support compliance activities across investment, operations, and marketing
- Assist with regulatory filings, due diligence, and risk mitigation tasks
- Review documentation for accuracy and regulatory adherence
- Collaborate with colleagues across departments to resolve compliance questions
- Handle compliance-related administrative tasks and ensure timely completion
- Take initiative on special projects while supporting ongoing daily requirements
Qualifications
- 2+ years of compliance and administrative experience within Canadian asset management (IFM/PM)
- Familiarity with securities regulations (e.g., National Instruments 81-102, 81-106, 31-103, 33-109, 81-105, 81-107)
- Strong collaboration skills and ability to work in a demanding, detail-driven environment
More about this job
Responsibilities
Support compliance activities across investment, operations, and marketing, including regulatory filings, due diligence, risk mitigation, and documentation reviews. Resolve compliance questions with colleagues, complete administrative tasks on time, and contribute to special projects and ongoing requirements.
Requirements
Requires at least two years of compliance and administrative experience in Canadian investment fund management or portfolio management. Candidates should be familiar with relevant Canadian securities regulations and able to collaborate effectively in a demanding, detail-oriented environment.
Skills
- Compliance
- Canadian Asset Management
- Securities Regulations
- Regulatory Filings
- Due Diligence
- Risk Mitigation
- Documentation Review
- Regulatory Adherence
- Cross-Functional Collaboration
- Administrative Support
- Attention To Detail
- Project Support
Visa sponsorship
Not detected in the job text
Categories
- Finance & Accounting
- Legal
- Administrative
Keywords
- Investment Management
- Canadian Asset Management
- Investment Fund Management
- Portfolio Management
- Compliance
- Securities Regulations
- National Instrument 81-102
- National Instrument 81-106
- National Instrument 31-103
- National Instrument 33-109
- National Instrument 81-105
- National Instrument 81-107
- Regulatory Filings
- Due Diligence
- Risk Mitigation
- Documentation Review
- Regulatory Adherence
- Investment Operations
- Marketing Compliance
- Administrative Tasks
- Cross-Functional Collaboration
- Special Projects