The Compliance Analyst is responsible for assisting with reviews and documentation in accordance with Investment Fund Manager (IFM) rules and other regulatory and company requirements within the Compliance Department. Compliance is responsible for the execution and delivery of the IFM compliance program which fosters and encourages a culture of compliance across the organization and supports the vision and culture of the Firm. This is achieved through the development, refinement, documentation, implementation, monitoring and testing of compliance policies and procedures, training, education, internal controls and reporting.
The Compliance Analyst reports directly to the SVP/CCO.
- Review daily, monthly, quarterly and annual activity.
- Expense reviews.
- Keep abreast of changes to regulation or legislation as well as industry trends.
- Assist in the development, refinement, documentation, implementation, monitoring and testing of compliance policies, procedures and internal controls.
- Create and monitor data exceptions and errors, recommending thoughtful and practical solutions.
- Preparing formal and informal compliance reports on a regular and ad hoc basis.
- Update and maintain Compliance and Complaint logs.
- Assist with documentation.
- Assist with monitoring compliance to policies and procedures.
- Assist with the tracking of compliance and sales programs.
- Assist with collateral review of marketing material.
- Assist with other operational aspects as needed.
- Assist in Compliance and Operational projects as assigned.
- Assist in preparing responses to regulatory inquiries and investigations.
- Assist with personal trade monitoring.
- University or College Degree.
- Minimum 3 years of Mutual Funds/ETF experience preferably with an IFM, one of which should be related to compliance.
- Completion of Canadian Securities Course is essential.
- Knowledge of back office systems.
- Familiarity with Fund Accounting.
- In depth knowledge of the Mutual Fund/ETF industry, capital markets and regulatory requirements.
- Experience with Salesforce and efficient in using Microsoft Office.
- Able to prioritize and manage multiple tasks simultaneously.
- Ability to exhibits regular, reliable, punctual and predictable attendance.
- Attention to detail.
- Well-developed communication skills, both written and verbal.
To apply: Please email your resume or mail your resume to:
FT Portfolios Canada Co.
40 King Street West, Suite 5102
Scotia Plaza, Box 312
Toronto, ON M5H 3Y2
Note: Only those selected for an interview will be contacted, no agencies or solicitations please.