Counselor, Global Regulatory Compliance

Job summary

The Counselor executes the Canadian client management compliance program, including AML/ATF oversight, KYC, and suitability monitoring. They also perform surveillance processes, manage regulatory requests, and assist in the creation and delivery of compliance-related employee training.

Job details

The Counselor executes the Canadian client management compliance program, including AML/ATF oversight, KYC, and suitability monitoring. They also perform surveillance processes, manage regulatory requests, and assist in the creation and delivery of compliance-related employee training. Candidates must hold a bachelor's degree in a relevant discipline and possess at least five years of experience in a regulatory compliance role within the investment management industry. Strong knowledge of internal controls, regulatory frameworks, and excellent communication skills are essential for success in this position.

What you’ll do

The Counselor executes the Canadian client management compliance program, including AML/ATF oversight, KYC, and suitability monitoring. They also perform surveillance processes, manage regulatory requests, and assist in the creation and delivery of compliance-related employee training.

Requirements

Candidates must hold a bachelor's degree in a relevant discipline and possess at least five years of experience in a regulatory compliance role within the investment management industry. Strong knowledge of internal controls, regulatory frameworks, and excellent communication skills are essential for success in this position.

Benefits

• Wellness Account
• Learning & Development Support
• Employee Share Purchase Plan
• Performance-Based Rewards
• Telemedicine Access
• Summer Schedule Program

Listed skills

• Policy development · Preferred
• Regulatory Compliance · Preferred
• Asset Management · Preferred
• Risk Management · Preferred
• Communication Skills · Preferred
• Stakeholder Management · Preferred

Other relevant skills

Identified from the job description. Confirm important requirements above.

• Regulatory Compliance
• AML/ATF Oversight
• KYC
• Client Due Diligence
• Internal Controls
• Risk Management
• Surveillance
• Regulatory Reporting
• Policy Development
• Stakeholder Management
• Asset Management
• Securities Regulation
• Documentation Oversight
• Training Delivery
• Communication Skills
• Organizational Skills

Job areas

• Finance & Accounting
• Legal
• Management & Leadership
• Administrative

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