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Senior Compliance Associate - Jobs in Winnipeg region

Job LocationWinnipeg region
EducationNot Mentioned
SalaryNot Mentioned
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent

Job Description

Job Description

  • Conduct ongoing compliance activities for mutual fund operations.
  • Conduct ongoing compliance activities for investment counsel operations.
  • Assist with the preparation and filing of the Prospectus, Annual Information Form, Fund Facts and Offering Memorandum documents.
  • Assist with the review of marketing materials and co-operative marketing requests.
  • Assist with the review of account opening documents for discretionary managed accounts.
  • Assist the business development team to service advisors and other clients.
  • Maintain appropriate paper and electronic records.
  • Other compliance and/or administrative tasks, as assigned.
  • Keep abreast of changes to compliance procedures, firm policies, compliance manuals and rules, regulations, and requirements of securities regulatory authorities; and
  • 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.
  • Other miscellaneous duties and special projects as assigned

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