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Compliance Specialist - Jobs in Winnipeg, Manitoba

Job LocationWinnipeg, Manitoba
EducationNot Mentioned
SalaryNot Mentioned
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypeFull time

Job Description

Job Description

  • Conduct ongoing compliance monitoring activities of mutual fund registrants at either a Tier 1 or 2 level
  • File NRD registration applications, notices and terminations
  • Assist with the creation and updates of policy and procedures manual
  • Work with the dealer’s Investment Product Committee to fulfil its KYP obligations
  • Review marketing materials and co-operative marketing requests
  • Maintain appropriate paper and electronic records
  • Occasionally travel to branches to conduct reviews, interviews and/or training
  • Keep abreast of changes to compliance procedures, firm policies, compliance manuals and rules,regulations and requirements of securities regulatory authorities
  • Work to continually improve product and compliance knowledge by completing industry courses,participating in seminars, workshops and conferences, proactively reading internal publications,industry news and media releases, and sharing information and ideas with team members.
  • Travel to various offices to perform reviews
  • Other miscellaneous duties and special projects as assigned

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