Are you an experienced compliance professional looking for an investment compliance opportunity? Our client, a successful full -service financial services firm, is seeking a Compliance Manager to join their team located in the downtown core. This individual will be responsible for the improving the investment compliance programs.
This Compliance Manager job requires you to utilize your experience to test, monitor, and identify opportunities for improvement. The successful candidate will be held responsible for leading implementation programs, work with advisors to ensure compliance practice are being met, and be the subject matter expert for trading compliance and conduct compliance.
- University Degree
- 5+ years investment compliance experience
- Experience with Bloomberg
- Working knowledge of NI 81-102