Looking for an energetic, proactive, results-focused Compliance Analyst to join our team.
As one of the key compliance roles in the firm, you will work side-by-side with the Chief Compliance Officer/Legal Counsel to execute the firm’s compliance program.
- Work with the CCO in the development, implementation and maintenance of established compliance procedures and policies.
- Work with the CCO in the creation of new compliance policies and the development of monitoring and training procedures in respect of all compliance policies.
- Ensure the proper programs are in place to test policies and procedures and prepare report of findings.
- Report exceptions to the CCO and assists in the resolution of compliance related issues.
- Act as a liaison to department managers to communicate compliance requirements and to ensure implementation of related policies, procedures and programs including maintaining appropriate business records to evidence compliance.
- Assist in the training of all the staff in the relevant aspects of the company’s compliance program.
- Responsible for the review and approval of all NI 81-105 sales practices requests, including the identification and communication of deficiencies and possible solutions, to internal and external parties.
- Responsible for the review and approval of all marketing materials as required by NI 81-102.
- Responsible for overall coordination of the GOC, IRC and BOD meetings.
- Ensure that the preparation and filing of all provincial business corporation act and securities regulatory filings to maintain corporate and individual registrations are completed.
- Assist the CCO in responding to audits, reviews and inquiries from regulatory authorities.
- Perform timely review of all requisite documents relating to BIPCo’s activities to ensure compliance with applicable regulation.
- Responsible for communicating with provincial securities commissions on various matters.
- Responsible for administering and monitoring personal trades of all employees to ensure compliance with firm’s Code of Ethics and related Personal Trades Policies and Insider Trading Policy. Provide regular reporting to the CCO and senior management.
- Assist the CCO with matters related to prospectus, AIF and Fund Facts filings, as well as the preparation and filing of MRFPS.
- Develop and advocate recommendations and options to address issue and concern.
- Maintain ongoing knowledge of the Canadian mutual fund and securities regulations, AML and privacy requirements.
- Work closely with the CCO to develop and execute on departmental and/or firm-wide initiatives or projects in a professional manner and on a timely basis.
- At least three years of related compliance experience in Mutual Fund Industry
- Broad knowledge of NI 81-102 an NI 81-105
- Self-starter with strong desire to succeed and achieve goals
- Detail oriented with the ability to multi-task, work within time constraints, and meet deadlines
- Strong communication skills (verbal/written)
- Ability to work effectively with a large degree of autonomy and minimal supervision
- Ability to interpret and apply policy to a variety of situations
- Excellent organization and time management skills
- Strong attention to detail
- Post-secondary University Degree or College Diploma
Bridgehouse Asset Managers (Bridgehouse) considers all job applicants on the basis of merit, qualifications, and competence without regard to any qualified individual’s sex, race, colour, religion, national origin, ancestry, citizenship, pregnancy, age, marital status, medical condition, physical disability, mental disability, or sexual orientation.
We value our employees and invest significantly in our business and our people. We seek to attract individuals who are fresh thinkers and who wish to contribute in a collaborative, energized environment. The positions at Bridgehouse offer individuals the opportunity to be part of a winning organization and work in an atmosphere of accomplishment and enjoyment.
Bridgehouse Asset Managers welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in the selection process. If you require accommodation, please e-mail firstname.lastname@example.org.
We appreciate all interest in Bridgehouse as a prospective employer and resumes not selected are retained for future consideration for one year.
All positions require relevant investment industry experience, and excellent communication and organizational skills.
Please send a cover letter indicating position of interest and resume to:
Human Resources Department
Bridgehouse Asset Managers
33 Yonge Street, Suite 300
Toronto, ON M5E 1G4
Fax: 416.306.5750 or 888.861.9991