Compliance Analyst implementing policies and managing risks at Comgás. Collaborating across departments to ensure corporate governance and compliance measures.
About the role
- Advisor Practice Compliance overseeing operations in mutual fund and securities disciplines. Analyzing advisor practices and ensuring compliance with organizational standards.
Responsibilities
- Analyze business practices of advisors within various independent distribution networks
- Oversee daily operations in the mutual fund discipline as well as in securities
- Contribute to the design, implementation, and coordination of the compliance framework
- Monitor supervisory measures, particularly the behavior of independent advisors
- Analyze and help diagnose issues, provide advice in accordance with regulatory requirements
- Participate in the development of recommendations and implementation plans
- Develop tools, methods, and processes tailored to the needs of the organization
Requirements
- Bachelor’s degree in a relevant field
- A minimum of four years of relevant experience
- Experience in audit or supervision
- Completion of the Canadian Securities Course (CSC)
- Completion of the Conduct and Practices Handbook Course (CPH)
- Completion Investment Dealer Supervisors Course (IDSC)
- Completion (or commitment to quickly complete) the Derivatives Fundamentals and Options Licensing Course (DFOL)
- Knowledge of French is required
- Advanced intermediate proficiency in English, due to the nature of the tasks, work tools, and interactions with English-speaking partners, members, and clients
Benefits
- Competitive salary and annual bonus
- 4 weeks of flexible vacation starting in the first year
- Defined benefit pension plan that provides predictable, stable income throughout retirement
- Group insurance including telemedicine
- Reimbursement of health and wellness expenses and telework equipment
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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