Compliance Manager
Pinnacle Fund Services
full-time
Posted on:
Location Type: Remote
Location: Canada
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Salary
💰 CA$100,000 - CA$130,000 per year
About the role
- Assist the VP of Risk & Compliance in managing incoming compliance inquiries from the business, researching questions, documenting responses, and coordinating the next steps.
- Prepare and support regulatory filings (including collecting required information, drafting responses, and maintaining submission evidence), and track filing calendars/deadlines.
- Respond to client and investor due diligence queries.
- Maintain organized, audit-ready compliance records (filings, correspondence, approvals, and supporting documentation).
- Support other compliance-related matters as assigned, including policy interpretation, and coordination with internal stakeholders.
- Oversee key components of the firm’s AML program, ensuring alignment with regulatory requirements, internal risk appetite, and documented program standards.
- Serve as an escalation point for AML‑specific matters, providing risk‑based analysis and decisioning on high‑risk investors, complex screening hits, and enhanced due diligence cases.
- Review high‑risk investor profiles and AML alerts, ensuring appropriate escalation, documentation, and consistency with internal methodologies.
- Support execution of the annual AML Risk Assessment, including evaluation of program effectiveness, identification of control gaps, and tracking remediation activities.
- Provide AML‑specific guidance to internal teams, translating regulatory expectations into practical application within onboarding, monitoring, and investor servicing processes.
- Own the compliance training program, including annual training needs assessment, curriculum design, delivery methods, and completion tracking.
Requirements
- 7+ years’ experience in compliance, risk, audit, or controls within a financial institution, fund administrator, or related professional services environment, with increasing responsibility.
- Strong command of the English language.
- Exceptional attention to detail and sound professional judgment.
- Strong writing, analytical, and stakeholder-management skills, with the ability to influence and drive outcomes.
- Proficient in Microsoft Office.
- Proven ability to manage multiple priorities, set direction, and execute against deadlines in a fast-paced environment.
Benefits
- Extended Health Benefits
- RRSP Employer Match Program
- Competitive Compensation
- Annual discretionary bonus
- Educational Support
- Work-Life Balance
- Remote Firm, with some in-office days with purpose (learn, build relationships, collaborate & socialize)
- Exposure to all aspects of the business
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
compliancerisk managementAML programregulatory filingsdue diligencepolicy interpretationrisk-based analysisannual AML Risk Assessmentcurriculum designdocumentation
Soft Skills
attention to detailprofessional judgmentwriting skillsanalytical skillsstakeholder managementinfluencedrive outcomesmanage multiple prioritiesset directionexecute against deadlines