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Job Title
Compliance ManagerJob Description Summary
We are looking for a Compliance Manager to join our Toronto Central (Downtown) office. The successful candidate will be responsible for overseeing security legislation and personnel across Canada. The successful candidate will report directly into the President of Advisory Canada.Job Description
Key Responsibilities
Establish and maintain policies and procedures for assessing compliance by CW Canada and individuals acting on its behalf, with securities legislation.
Monitor and assess compliance by CW Canada and individuals acting on its behalf, with securities legislation.
Report to the UDP as soon as possible if the Compliance Manager becomes aware of any circumstances indicating that CW Canada, or any individual acting on its behalf, may be in non–compliance with securities legislation and any of the following apply:
(i) the non–compliance creates, in the opinion of a reasonable person, a risk of harm to an investment fund or other client
(ii) the non–compliance creates, in the opinion of a reasonable person, a risk of harm to CW Canada
(iii) the non–compliance creates, in the opinion of a reasonable person, a risk of harm to the capital markets or
(iv) the non–compliance is part of a pattern of non–complianceSubmit an annual report to the Board for the purpose of assessing compliance by CW Canada and individuals acting on its behalf, with securities legislation.
Create awareness of CW Canada’s procedures and policies as well as rules and regulations with which all personnel are required to comply.
Monitor adherence with such policies, procedures, rules and regulations and to report and advise senior management and the Board accordingly.
Enforce compliance policies and guidelines by those responsible for supervision.
Review and assess potential conflicts of interest.
Maintain records to accurately record CW Canada’s business activities, financial affairs, and client transactions and demonstrate CW Canada’s compliance with securities legislation.
Monitor and consider on-going regulatory guidance from the CSA and assess its applicability to CW Canada.
Monitor and supervise sales practices.
Supervise trades in a manner expected of an exempt market dealer.
Review product documentation; (n) review client account documentation.
Review all external advertisements and sales communications.
Conduct KYP due-diligence on products to be offered to clients.
Handle complaints and provide training on these policies and procedures and other compliance– related matters.
Requirements
5+ years experience in Compliance
Securities industry experience in the compliance area is required
At least 12 months of such experience in the last 36 months is required
Required to have passed either of the exempt market products exam or the Canadian securities course exam.
Required to have passed either of the PDO exam (officers’, partners’ and directors’ exam offered by IFSE institute or partners, directors and senior officers course exam offered by CSI global education inc.) or the Chief Compliance Officers qualifying exam.
The compensation that will be offered to the successful candidate will depend on factors such as whether the position is covered by a collective bargaining agreement, the geographic area in which the work will be performed, market pay rates in that area, and the candidate’s experience and qualifications.
The company will not pay less than minimum wage for this role.
Cushman & Wakefield is committed to equity in employment and our goal is to have a diverse, inclusive, and barrier-free workplace. If you are a person with a disability and need the job posting in an alternative format or any other accessible accommodations during the hiring process, please email your request to [email protected]. Please refer to the job title and job location when you contact us.Cushman & Wakefield s’engage à respecter l’équité en matière d’emploi. Notre objectif est d’offrir un milieu de travail diversifié, inclusif et exempt d’obstacles. Si vous êtes une personne handicapée et que vous avez besoin de recevoir l’offre d’emploi dans un autre format ou d’accéder à toute autre mesure d’adaptation au cours du processus d’embauche, veuillez soumettre votre demande par courriel à [email protected]. Veuillez mentionner le titre de poste et le lieu de travail au moment de communiquer avec nous.INCO: “Cushman & Wakefield”
