Mahoney Asset Management

Director, Compliance

Mahoney Asset Management

full-time

Posted on:

Location Type: Hybrid

Location: Toronto • Canada

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Salary

💰 CA$120,000 - CA$150,000 per year

Job Level

Lead

About the role

  • Ensure compliance with regulatory and contractual requirements, including investment monitoring, financial crime, privacy, anti-spam, marketing, sales practices, wealth management, risk management, and firm policies
  • Provide expertise on compliance issues and offer guidance on policies, procedures, and regulatory matters to the business
  • Assess and recommend improvements to business methods, systems, and procedures
  • Ensure compliance for marketing content across all mediums, sales practices, and account opening materials
  • Develop and maintain compliance monitoring program
  • Manage regulatory filings, prepare client deliverables, and ensure proper record-keeping and documentation retention
  • Assist in preparing responses for regulatory reviews, surveys, and field reviews
  • Support governance matters, including the Independent Review Committee for funds
  • Act as the money laundering reporting officer for the firm
  • Contribute to the development of regulatory strategies and communicate changes effectively to business teams
  • Help develop, maintain, and implement policies, procedures, and employee training programs
  • Prepare submissions and supporting documents for firm and individual registrations
  • Work with other departments and leadership to manage compliance risk, promote best practices, and support innovation
  • Manage compliance team member, focusing on their responsibilities and career development
  • Develop understanding and stay informed about investment industry requirements and trends, regulatory developments, and policy updates that impact the firm’s business, compliance program and reporting requirements

Requirements

  • At least 10 years of experience in the mutual fund or asset management industry
  • Undergraduate degree
  • Comfortable with performing and contributing to a hands-on compliance role
  • Completion of the Canadian Securities Course or equivalent
  • Completion of, or willingness to complete, the Chief Compliance Officers Qualifying Exam, Partners, Directors and Senior Officers Course Exam, or equivalent
  • Strong knowledge of Canadian securities legislation, including NI 31-103, NI 45-106, NI 81-102, NI 81-105
  • Ability to interpret and communicate compliance requirements effectively (both oral and written) and develop actionable plans
  • Skilled at building relationships and influencing decisions across the organization
  • Strong research, problem-solving, and analytical skills
  • Experience with marketing platforms, including social media platforms is a plus
  • Self-motivated, able to work independently and as part of a team
  • Accountable, accurate, detail-oriented, and exceptional at follow-through
  • Excellent organizational and project management skills
  • Proficient in Microsoft Excel and experienced with investment/compliance systems, including Bloomberg
  • Ability to communicate in French and experience in managing employees are assets.
Benefits
  • Profit sharing
  • Health and wellness coverage
  • Life and disability insurance
  • Paid time off and holidays
  • Learning and development programs
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
compliance monitoringregulatory filingsrecord-keepingpolicy developmentrisk managementfinancial crime complianceinvestment monitoringanalytical skillsproblem-solvingknowledge of Canadian securities legislation
Soft Skills
communication skillsrelationship buildinginfluencing decisionsself-motivateddetail-orientedorganizational skillsproject managementteamworkaccountabilitytraining development
Certifications
Canadian Securities CourseChief Compliance Officers Qualifying ExamPartners, Directors and Senior Officers Course Exam