- A competitive compensation package including comprehensive health benefits;
- Flexible work hours;
- We value collaboration, open-mindedness, and service focused mindsets;
- Diverse and inspiring colleagues and approachable leaders;
- Opportunity to evolve in a growing firm.
- Oversee various compliance functions detailed in Hamilton ETFs Compliance Manual and the ongoing review and maintenance with rule changes and guidance from various regulatory bodies;
- Conduct reviews of portfolio trades ensuring approvals and compliance with regulations and constating documents;
- Work closely with marketing and sales teams to educate, develop and evolve standard compliance guidelines and protocols for marketing collateral and sales communications;
- Support compliance audits and review of departmental materials and communications
- Prepare reports on various investment management functions such as broker selection, trade allocation, proxy reporting etc.;
- Work closely with the CCO in meetings and communications with the Independent Review Committee ("IRC"), in addressing potential conflict of interest matters as they may arise;
- Monitor and report on existing conflict of interest matters (if any) addressed through standing instructions with the IRC;
- Oversee the implementation and monitoring of various compliance policies (i.e. Anti-Money Laundering and Proceeds of Crime , Social media, Cooperative Sales and Marketing, Protection of Personal Information, etc. Develop educational materials for internal use;
- Assist in the review of prospectuses, information forms, press releases, reports of fund performance, financial statements, etc. and registration of employees in various registration categories;
- Support senior leaders with various initiatives including review and maintenance of HR policies and manuals, regulatory documents and continuous disclosure materials;
- Act as a regulatory resource and contact for all departments on all regulatory compliance issues and liaise with external resources where necessary for participation in written as well as oral proceedings;
- Research and report on various industry matters with impact analysis for our firm;
- Provide strategic input with regards to any potential compliance and/or regulatory barriers, which may arise as a result of a potential course of action by our firm
- Participate in special projects as assigned for the overall benefit of Hamilton ETFs.
- Post-secondary education;
- Minimum 2 years experience in a compliance environment for an ETF or mutual fund issuer;
- Working knowledge of related regulatory instruments and rules, particularly National Instrument ("NI" , 81-106, and 81-107;
- Broad understanding of the portfolio management process and its inherent risk components;
- Excellent written and verbal communication skills, in English and French (preferred);
- Exceptional organizational skills with impeccable attention to detail and accuracy;
- Team-oriented mindset, with an interest and aptitude to add value outside of core responsibilities;
- Ability to maintain a high level of integrity and discretion in handling confidential information;
- Sound judgement to identify, respond and resolve any regulatory or compliance matters;
- Ability to manage numerous tasks and projects simultaneously and manage deadlines;
- Proficiency with Microsoft Office, particularly Excel and Word;
- Recommendations for excellent movies and TV shows are welcome
- Working knowledge of NI 81-101, 81-104, and would also be useful, but not initially required;
- Professional designation in finance (i.e., CFA);
- Familiarity with the operations of an ETF business;
- Completion of Partners, Directors and Senior Officers Course with Canadian Securities Institute;
- Bilingual in French a strong asset. Interested in being a part of Hamilton ETFs? We look forward to your application We believe diverse perspectives strengthen our ability to deliver on our mission, and that to achieve our vision of excellence requires an environment in which everyone feels welcomed and valued, including our team, and those we serve and with whom we work. Hamilton ETFs is committed to meeting the accessibility needs of all applicants throughout the recruiting and selection process. Please let us know about any accommodation and/or support requirements. Please note only those candidates selected for an interview will be contacted. Please note we are only accepting applications from those authorized to work in Canada and we are not currently sponsoring any temporary or permanent work visas .
-
Sales communications compliance officer
2 weeks ago
Société Financière Manuvie Old Toronto, CanadaNous sommes un fournisseur de services financiers qui s'emploie à faciliter les décisions de nos clients et de nos collègues partout dans le monde et à les aider à vivre mieux. De nos initiatives environnementales à nos investissements dans la collectivité, nous montrons la voie ...
-
Senior Compliance Officer SWAP Dealer
2 weeks ago
CIBC Toronto, Canada Temps pleinNous bâtissons une banque axée sur les relations pour un monde moderne. Nous recrutons des professionnels talentueux et passionnés qui ont à cœur de faire ce qu'il faut pour nos clients. · À la Banque CIBC, nous misons sur vos forces et vos ambitions pour vous donner le pouvoir ...
-
Compliance Officer
2 weeks ago
Canadian Investment Regulatory Organization Old Toronto, Canada40 Temperance Street · Suite 2600 · Toronto, ON M5H0B4, CAN · Description · Position Title: Compliance Officer (MFD) · Department: Business Conduct Compliance · Region: Toronto · Status: Permanent Full-time (Hybrid) · CIRO is the national self-regulatory organization that over ...
-
Compliance Officer
2 weeks ago
Enable Old Toronto, CanadaAt Enable, we believe rebates are the best way for companies within the supply chain to create, maintain and grow their trading relationships. Rebates allow trading partners to make the best decisions for their businesses, meaning everyone wins: manufacturers, distributors, retai ...
-
Compliance Officer
2 weeks ago
HR à la carte Old Toronto, CanadaWe are seeking a Compliance Officer with strong business acumen and objectivity to join our dynamic team and be a part of one of Canada's fastest growing exchange traded fund ("ETF") providers. · Hamilton ETFs offers:A competitive compensation package including comprehensive heal ...
-
Compliance Officer
2 weeks ago
Larson Maddox Toronto, CanadaAn alternative investment firm is seeking a Compliance Officer to join their Global Regulatory and Compliance team. In this role, you will play a pivotal part in assisting with various regulatory activities both at the organizational level and for investment vehicles. This positi ...
-
Compliance Officer
2 weeks ago
Enable Old Toronto, CanadaYour full LinkedIn profile will · be shared. Learn more · File exceeds the maximum upload size of 100MB. Please try a smaller size. · Full name ✱ · Pronouns · He/him · She/her · They/them · Xe/xem · Ey/em · Hir/hir · Fae/faer · Hu/hu · Use name only · Custom · Let th ...
-
Compliance Officer
2 weeks ago
CI Financial Toronto, Canada Full timeAt CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and pro ...
-
Compliance Officer
3 weeks ago
Bloom Finance Company Ltd. Toronto, ON, CanadaAbout Bloom: Bloom is a leading Canadian fintech company specializing in reverse mortgages. As a licensed mortgage brokerage and administrator operating in Ontario, British Columbia, and Alberta, and in partnership with OSFI-regulated financial institutions, Bloom offers innovati ...
-
Senior compliance officer, canadian personal
3 weeks ago
BMO Financial Group Old Toronto, CanadaDate limite pour présenter sa candidature : · 05/28/2024Adresse : · 100 King Street WestGroupe de famille d'emploi : · Audit, gestion des risques et conformitéThis is a hybrid role, with a requirement to be in the Toronto office (First Canadian Place) 2-3 days a week. · Assists i ...
-
Financial Compliance Officer
1 week ago
Board of Funeral Services, The Old Toronto, CanadaFinancial Compliance Officer · As a Financial Compliance Officer with the BAO, you can expect a dynamic role championing adherence to regulatory guidelines. You will play a pivotal part in conducting audits, delving into financial data, and crafting strategies to safeguard agains ...
-
Compliance Officer, Surveillance
2 weeks ago
CI Financial Old Toronto, CanadaJOB OVERVIEW · We are currently seeking a Compliance Officer, Surveillance to join our Compliance team. In this role, the successful candidate is expected to monitor client account activity of Assante advisors in accordance with internal procedures and regulatory requirements and ...
-
Environmental Compliance Officer
2 weeks ago
Bantrel Co. Toronto, Canada Full timeJob Description · We are currently seeking a qualified Environmental Compliance Officer to join our Infrastructure team, based out of Toronto, ON. The Environmental Compliance Officer will be responsible for supporting the Environmental Compliance programs and providing technical ...
-
Compliance Officer, Surveillance
2 weeks ago
CI Financial Toronto, Canada Full timeJOB OVERVIEW · We are currently seeking a Compliance Officer, Surveillance to join our Compliance team. In this role, the successful candidate is expected to monitor client account activity of Assante advisors in accordance with internal procedures and regulatory requirements and ...
-
Bilingual Compliance Officer
4 days ago
CI Financial Toronto, Canada Full timeAt CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and pro ...
-
Senior Compliance Officer
2 weeks ago
CI Financial Toronto, Canada Full timeAt CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and pro ...
-
Bilingual Compliance Officer
1 day ago
CI Financial toronto, CanadaJob Overview · We are currently seeking a Compliance Officer, Registrations (Bilingual) to join our Compliance/Registrations Department. The Registration Department is responsible for the management / administration of licensing and registration for the affiliated member firms of ...
-
Compliance Officer, Surveillance
2 weeks ago
CI Financial Toronto, Canada Full timeJob Description · WHAT YOU WILL DO · -Conduct, monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in CIRO (mutual fund dealer and investment dealer) rules, other regulations, and corporate guidelines and polici ...
-
Senior Compliance Officer
2 weeks ago
CI Financial Toronto, CanadaAt CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and pro ...
-
Senior Compliance Officer
2 weeks ago
CI Financial Toronto, Canada Full timeAt CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and pro ...
Compliance Officer - Old Toronto, Canada - Hr A La Carte
Description
We are seeking a Compliance Officer with strong business acumen and objectivity to join our dynamic team and be a part of one of Canada's fastest growing exchange traded fund ("ETF") providersHamilton ETFs offers:
Here's a bit about Hamilton ETFs:
Hamilton ETFs is one of Canada's fastest growing exchange traded fund ("ETF") providers.
Based in Toronto's financial district and with ~$4.6 billion in ETF assets under management, we are seeking a motivated individual to join our entrepreneurial team of experienced and talented professionals.
Here's what you will do as Compliance Officer:
The Compliance Officer is an integral member of our compliance team.
As Compliance Officer, you will work closely with, and report directly to, the Chief Compliance Officer ("CCO") and assist in meeting Hamilton ETFs ongoing regulatory, corporate and fiduciary obligations.
More specifically, you will:
Here's what you'll need to be successful:
Assets:
Original job Compliance Officer posted on GrabJobs . To flag any issues with this job please use the Report Job button on GrabJobs.
#J-18808-Ljbffr
