Compliance Manager - Burlington, Canada - Children's Education Funds Inc.

Children's Education Funds Inc.

Verified Company

Burlington, Canada

2 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

Description

Position Overview:

The Compliance Manager reports to the Chief Compliance Officer (CCO) and will be responsible for helping maintain the integrity of the firm by ensuring compliance with all regulatory requirements as well as internal policies and procedures.

This position will support the maintenance of the Compliance Program that ensures adherence to compliance requirements. This role will also develop, implement and update relevant policies in support of the firm's Compliance Program.

Responsibilities:

Support the administration of the scholarship plans' distribution in compliance with regulations and other provincial regulations governing prospectus exemptions.
Support the administration of the dealer compliance function ensuring compliance with regulations and other provincial regulations.
Help develop and maintain compliance policies and procedures including related internal controls, training, independent testing, and recordkeeping requirements.
Implement changes to policies, procedures and programs that will serve to improve the organization's regulatory compliance.
Support the development of processes, tools and resources to support compliance initiatives that align with corporate goals and objectives.
Conduct compliance risk assessments to identify vulnerabilities and implement appropriate corrective and followup actions.
Ensure all appropriate registers, books and records are maintained in good standing and in accordance with legal and regulatory requirements.
Assist in the preparation of responses to and coordination of requests from various regulatory bodies and serve as secondary contact for all regulatory bodies on compliance inquiries
Support the investigation, evaluation, timely response and resolution of alleged compliance violations and customer complaints.
Address general and adhoc regulatory queries/projects from internal business stakeholders as needed.
Provide ongoing advice on compliance with Personal Information Protection and Electronic Documents (PIPEDA), Canadian Anti-Spam Legislation
Review marketing materials, advertising and social media posts;
Develop and deliver applicable compliance training and associated materials, including new hire compliance orientation and ongoing dealing representative, branch manager, employee/management compliance training.
Review new trades for compliance with KYC and suitability requirements and AML requirements.
Perform other duties as assigned.

Qualifications:

Ability to take responsibility and be proactive on new matters
Strong management skills
Strong written communication skills
Excellent verbal and written communication, collaboration, presentation and influencing skills with the ability to communicate effectively with all internal and external stakeholders.
Ability to review documentation effectively and accurately with prior audit experience
Excellent attention to details and a meticulous eye for identifying inconsistencies and inaccuracies
Competent user of Microsoft software, in particular Word, PowerPoint, Excel.
Able to work effectively with individuals at all levels of the organization
Strong understanding of Canadian regulatory environment and requirements.
An undergraduate degree with 35 year's experience working in a compliance role in the financial services industry, preferably with a dealer or portfolio manager
CSC or other industry courses
French language skills are an asset
Accounting background and financial literacy are strong assets