Compliance Officer (Mutual Funds)

Job Category
Finance
CA-ON-Richmond Hill
Job Type
Full Time

Job Description

Company: Global Maxfin Investments Inc. (GMII)

Location: Richmond Hill, ON.

Position: Compliance Officer

Department: Compliance

Reports to: Chief Compliance Officer (CCO)

GMII is a young and dynamic Mutual Fund Dealership, committed to providing its Independent Advisors a broad range of products, services, and support needed to grow an advisor’s practice. Headquartered in Richmond Hill, Ontario, GMII is proud to be a member of the MFDA and IFIC.

Key Accountabilities

The role of the Compliance Officer is to identify, assess, advice on, communicate, monitor and report on the member’s compliance with regulatory requirements. The key responsibilities of this position will be to provide compliance oversight to our network of financial advisors.

Major Responsibilities:

  • Handling the Client's Complainant investigations;
  • Responsible for complete METS reporting;
  • Update/revise policies and procedures manuals per current regulatory rules and guidelines;
  • Assisting the CCO with regulatory audits and requirements;
  • Know Your Products approvals (Fund data file downloads, running the script and complete the Manual KYP approvals for the non-prospectus base funds);
  • Performing the monthly sampling for each corporate branch and compliance tier 2 review as an audit;
  • Writing the compliance communications to the field;
  • Prepare and issue the Internal Warning Letter and/or the Close Supervision Letters to the Advisors;
  • Prepare the Compliance Letters to the resigning/ terminated Advisors;
  • Quality control check on Approved Persons registration File;
  • Review and approve the trade names and forwarding the request to MFDA for the approval;
  • Providing the Compliance training to the new Approved Person;
  • Review and approve all the marketing materials and website requests pursuant with NI 81-105';
  • Reviewing and approving wire and non-wire trades;
  • Ensuring compliance with suitability requirements;  
  • Reviewing and following up on historical blotters;
  • Review and approve referral agreements;
  • Review and approve the Mobility Exemption request;
  • Responsible for reviewing the monthly and quarterly trend reports;
  • Assisting Tier 2 or Tier 1 approval when required ( KYC, Trade and Non Wire trade Blotter reviews, Sales Communication Approvals, EMP product approvals, Global Education Trust RESP plan approvals, leverage loan approvals);
  • Assisting CCO for ad hoc projects and regulatory requirements  

Requirements:

  • Minimum three years Compliance work experience with a Mutual Fund Dealers Association (MFDA) or Investment Industry Regulatory Organization of Canada (IIROC) firm;
  • Completion of CSC PDO or OPD strongly preferred; and
  • Require the intermediary level of Excel and Access Knowledge

Competencies and Attributes:

  • Excellent verbal and written communication skills;
  • Ability to stay organized with multiple priorities and tight deadlines a must;
  • Ability to work with minimal supervision while maintaining accuracy, efficiency and quality of deliverables;
  • Detail-oriented and a strong sense of confidentiality;
  • Proficiency with MS Office (Excel PowerPoint, Word);
  • Thorough And Results Oriented; and
  • Strong commitment to the work

 

Global values the diversity of our workplace and a working environment where everyone has the opportunity to realize his or her full potential.  We gladly provide accommodations to any candidate with a disability taking part in the selection process upon request.

 

 

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