<p><strong>Role Overview:</strong> The Compliance Analyst works closely with the Chief Compliance Officer to implement compliance programs, ensuring adherence to regulations, policies, and relevant legislation. This individual performs hands-on reviews and supports both internal and external compliance processes for a dynamic organization in the Canadian Portfolio Manager sector.</p><p><strong>Key Responsibilities:</strong></p><ul><li>Review incoming client documentation for regulatory compliance.</li><li>Conduct compliance reviews of marketing material and online content.</li><li>Maintain evidence for compliance calendar obligations and manage operational policies/procedures.</li><li>Track and store compliance-related employee documents, including personal trading and acknowledgements.</li><li>Monitor monthly Anti-Money Laundering (AML) and Anti-Terrorism client reviews.</li><li>Work with IT on annual cybersecurity assessments and assist in creating training materials.</li><li>Oversee fund accounting/trust accounting for pooled funds.</li><li>Support response to regulatory reviews (OSC, FINTRAC) and external audits.</li><li>Manage third-party due diligence requests and assist across other compliance functions as needed.</li></ul>

<p><strong>Qualifications and Skills:</strong></p><ul><li>Undergraduate or advanced degree in finance, economics, business, or equivalent.</li><li>3–5 years’ experience in a compliance function at a registered Portfolio Manager, Investment Fund Manager, or CIRO registered dealer.</li><li>Understanding of PM/IFM regulation and NI 31-103 is a strong asset.</li><li>High technical aptitude—rapidly mastering new systems and AI technologies independently.</li><li>Strong communication, problem-solving, and ability to thrive in agile/remote settings.</li><li>Commitment to continuous improvement and deadline management across multiple priorities.</li></ul>

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