Senior Compliance Analyst, Asset Management

The Opportunity: At Equitable we believe great things happen when we work together. Were a Canadian mutual company driven by purpose - putting people first and helping Canadians protect today and prepare for tomorrow. If youre passionate about making a difference and growing your career in an inclusive and collaborative environment wed love to hear from culture is built on care passion and curiosity. We put people above all else strive to be our best and welcome new ideas to deliver positive our Asset Management team as a Senior Compliance Analyst Asset Management where you will play a key role in supporting compliance with applicable regulations and governing bodies including the Ontario Securities Act FINTRAC OSC guidelines the Insurance Act and OSFI Guidelines. Reporting to the Director Asset Management Compliance you will support day-to-day compliance operations regulatory oversight trade supervision reporting and investment compliance program enhancements while gaining broad exposure to investment management operations. This role offers the opportunity to work closely with investment teams external fund managers and regulatory requirements while contributing to a strong culture of governance risk management and continuous one of the regions top employers and be part of something that truly makes a Arrangements: This is a hybrid role. You will work in our office in Waterloo ON a minimum of two (2) assigned consecutive days every other week plus a fifth (5th) assigned day per month. You are welcome to work from the office more than the minimum requirement and there may be some roles that are required to work in our office more than the minimum youll do:Conduct compliance monitoring and testing to assess adherence to investment policies mandates restrictions regulatory requirements and internal guidelines. Research and monitor regulatory developments including securities legislation insurance regulations OSFI requirements FINTRAC obligations and AML requirements preparing summaries impact assessments and implementation plans. Support the ongoing enhancement of the investment compliance framework including policies procedures guidelines internal controls and compliance monitoring documentation. Produce monthly and quarterly compliance dashboards KPI/KRI reporting trend analysis management reports and committee reporting packages. Analyze investment holdings transactions personal trading activity compliance exceptions and portfolio data making recommendations to management. Perform daily trade supervision and support pre-trade and post-trade compliance reviews trade exception investigations and trading report distribution. Maintain compliance breach and issue logs track remediation activities validate corrective actions and prepare status reporting for management. Support regulatory filings registrations surveys examinations questionnaires and information requests while maintaining compliance records and evidence for audits and reviews. Conduct due diligence reviews and oversight activities for internal and external fund managers investment products and funds including onboarding document collection and periodic reviews. Assist with the development and maintenance of the investment compliance technology platform including compliance monitoring mandate testing exception management and investment oversight reporting within Finbourne and other portfolio management youll bring:University degree in Finance Business Accounting Economics Risk Management or a related discipline. 3-5 years of experience in investment compliance audit risk management investment operations or asset management. Strong understanding of securities regulation investment products governance frameworks compliance monitoring and regulatory obligations. Experience supporting compliance programs regulatory reviews examinations filings and ongoing compliance reporting activities. Advanced Excel skills with the ability to perform complex data analysis reconciliation interpretation and trend reporting. Experience with portfolio management and compliance systems such as Finbourne BlackRock Aladdin SimCorp One or Charles River IMS. Demonstrated ability to analyze compliance exceptions identify risks investigate issues and recommend practical solutions. Excellent written and verbal communication skills including strong report-writing presentation and stakeholder engagement abilities. Strong organizational skills with exceptional attention to detail integrity problem-solving abilities and the capacity to manage multiple priorities independently. Proactive and self-motivated individual capable of working independently and taking ownership of assigned tasks and strong interpersonal and collaboration skills working effectively with various stakeholders to compliance objectives.A continuous improvement mindset and progress toward or completion of a professional designation such as CSC CIM CFA CRCM or another relevant credential is considered an in it for you: Career Growth: Regular learning sessions and developmentopportunitiesTotal Rewards: Incentive pay annual salary reviews employer-paid benefits and pensionmatchingTime Away: Competitive vacation plus one paid volunteer day each yearFlexibility: Healthy work-life balance with employee wellness always top of mind complemented by a dress for your day approachWere committed to fair pay and an inclusive accessible hiring experience. If you need accommodations or alternative formats at any stage just reach out to us at Were happy to help. If youre selected to move forward our Talent Acquisition team will walk you through all the details of our total rewards program so you know exactly whats included. This position is open and we are excited to find the right person to join our base pay will be based on your skills qualifications experience and education. At Equitable your resume will be reviewed by real people and all hiring decisions are made by our recruiters and hiring managers. AI tools may be used to support administrative and productivity tasks throughout the recruitment process but we believe that evaluating experience skills and talent potential requires meaningful human interaction. As part of our commitment to maintaining a secure and trusted workplace candidates selected to move forward in the recruitment process will be required to complete a background screening in accordance with company To: Director Asset Management ComplianceDepartment: Legal and Compliance Term: Permanent Full-Time