Who we are:

Willoughby Asset Management Inc. is a member of the Harbourfront Group of Companies (“Harbourfront”) and is a dynamic industry leader specializing in financial services and wealth management. Harbourfront Wealth Management Inc. is a fast-growing CIRO registered securities dealer with over 10 billion in assets. The firm provides financial services and holistic wealth management solutions for mid to high-net-worth individuals. Willoughby is a registered investment fund manager across various jurisdictions in Canada, with BCSC as its principal regulator. At Harbourfront, our core values start with the belief that great people make great companies. Our head office is in downtown Vancouver with over 49 branches across Canada.

Career opportunity:

We are seeking a Compliance Analyst to join our Burlington, Ontario location on a hybrid working model or open to accommodating 100% remote work if the candidate is outside of Ontario. The successful candidate will ensure that the firm’s operations and investment products comply with applicable Canadian regulatory requirements. The candidate will report to the Chief Compliance Officer (“CCO”) of Willoughby Asset Management and work closely with various internal departments and external service providers on a small, fast-paced team. In this role you will gain access and experience in all areas of Investment Fund Management, while assisting in monitoring internal controls, reviewing marketing materials, supporting regulatory filings and conducting other compliance reviews.

You will be responsible for:

• Monitoring regulatory developments from CSA, BCSC, CIRO and other applicable authorities;
• Assisting in the preparation and filling of regulatory reports;
• Assisting in maintaining and enforcing of compliance policies and procedures;
• Supporting with the oversight of portfolio management practices, including but not limited to monitoring fund trading activity and adherence to the investment policy statement;
• Reviewing fund marketing materials and investor communications;
• Liaising with advisors for fund, trade, or client related matters;
• Assisting with internal compliance audits and document testing;
• Assisting with compliance activities for fund changes, including but not limited to launches and terminations;
• Supporting the CCO in maintaining and updating Conflicts of Interest related documents, logs and materials at the firm;
• Sales practices oversight and reviews as required;
• Supporting the development and delivery of compliance training to staff;
• Liaising with service providers as required;
• Monitoring internal mailboxes and respond to inquiries as required;
• Ad-hoc projects to meet business needs.

The ideal candidate for this position has:

• Minimum 5 years compliance experience within Investment Fund Management;
• Good understanding of investment industry and regulations;
• Strong analytical and problem-solving skills;
• Ability to multi-task and prioritize in a fast-paced environment;
• Attention to detail and organizational skills;
• Excellent communicator and creative thinking skills, always looking for process efficiencies.

Diversity and Inclusion

Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.