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Work closely with members of Asset Management Compliance to oversee Asset Management’s compliance oversight function including but not limited to best execution, fair allocation, trading errors, derivatives trading activities gifts and entertainment, registration.
Conducts appropriate inquiries and investigations in relation to any compliance breaches and ensures that appropriate corrective actions and/or risk mitigation actions are implemented in a timely manner or escalated.
Develop and maintain a trusted advisor and commercial relationship with Senior Management and other stakeholders (such as Portfolio Manager, Traders, Legal, Operations and Product) through the delivery of consistent, timely, practical, and accurate guidance and advice to the business.
The incumbent will use his/her analytical skills to conduct relevant research and arrive at conclusions and/or recommendations based on the exercise of good judgment on moderately complex decisions falling within standard policies; and escalate matters beyond existing policies.
Assists in identifying gaps in the existing compliance program and participates in developing, maintaining, and implementing changes to the firm’s compliance policies and procedures.
Maintains a high level of awareness of compliance related changes and developments in the securities industry through review of publications, participation in industry associations, employee development initiatives, etc.
Assist Snr. Manager, Compliance to prepare reporting and conduct analysis for various committees and working groups that may include; Trade Management Oversight Committee, Conflict of Interest Committee and Independent Review Committee, the Trade Cost Analysis working group.
Participate in special Compliance projects, as required and prepares and coordinates Compliance management reports.
Other duties and projects as may be assigned from time to time.
Senior Compliance Officer, Asset Management Compliance
Toronto, ONPosted Yesterday