Senior Compliance Analyst

Canso Investment Counsel is a leading independent investment management firm providing portfolio management services to Canadian institutional clients. Founded in 1997, Canso is dedicated to delivering superior long-term investment results through a disciplined and research-driven approach.

Our team of experienced investment professionals is committed to maintaining the highest standards of compliance and ethical conduct in all aspects of our operations. We have a happy, family-friendly, and flexible work environment. We value honesty and integrity, and our clients come first.

Position Summary

Canso Investment Counsel is seeking an experienced Senior Compliance Analyst to join our team. The successful candidate will play a crucial role in ensuring that our firm adheres to all regulatory requirements and internal policies.

This position involves assisting the Chief Compliance Officer (CCO) in various compliance activities, monitoring employee and portfolio compliance, and managing regulatory filings and communications.

This new full-time position has an expected annual compensation range of $90,000 - $120,000, commensurate with experience and qualifications.

Responsibilities

• Provide support to the Chief Compliance Officer in the development and administration of the Compliance program.
• Maintain and adjust the firm’s policies and procedures (including the development of new policies and workflows) to meet regulatory requirements and expectations.
• Provide compliance direction and advice in all areas applicable to the business including support for continuing education, audit matters and digital innovation projects.
• Perform supervision reviews and ensure the firm and all staff are compliant with applicable regulatory and business level requirements, policies and procedures.
• Manage regulatory documents and filings.
• Review and approve marketing materials and sales practices requests.
• Other duties as assigned.

Qualifications

• Bachelor’s degree; a professional designation is an asset.
• 7+ years of regulatory compliance experience.
• Registration as a Portfolio Manager is an asset.
• Experience in developing policies and procedures to meet OSC regulatory requirements and expectations.
• Solid knowledge of, and demonstrated ability to interpret and apply, regulations applicable to both a Canadian and US registered investment firm.
• Strong ability to assess gaps and build a Compliance program based on applicable regulatory requirements.
• Successful completion of industry courses CSC, CPH, BM or PDO.
• Bilingual in French and English is an asset.
• Excellent analytical and communication skills (written and verbal).
• Proficient in using Microsoft Office, G Suite programs and other software tools.
• Experience in investment management platform SimCorp Dimension is an asset.
• Demonstrated ability to solve problems and give Compliance direction and advice based on solid reasoning.
• Possess a drive to lead, build, learn and improve and a “can-do” attitude.
• Collaborative and supportive of colleagues and business goals.

Canso Investment Counsel is proud to be an Equal Opportunity and Affirmative Action Employer.

We are committed to providing accommodations for people with disabilities in all aspects of the recruitment and selection process. If you require accommodation or special assistance, please send an email with your request to PC@Cansofunds.com. Your information will be treated as confidential.

We sincerely thank all applicants for their interest, however only those in consideration for the opportunity will be contacted.