Assistant Compliance Manager

Assistant Compliance Manager is required to perform Investment Compliance activities, including post trade monitoring, rule coding and testing for account launches and guideline amendments, and other allied daily, monthly, quarterly reporting tasks and manage work performed by the team. The role requires applicable IC related skills (experience in rule coding, post trade monitoring and allied reporting) to be effective.

Requirements

• Total work experience of 6 to 8 years required including 4 to 6 years of relevant work experience of compliance monitoring and rule coding with an investment advisor or mutual fund group in Compliance or regulatory environment.
• Strong knowledge of and experience with 40 Act Funds, Multi-Asset Funds, Equity/Fixed Income/ETF Products required, Institutional Products, Stable Value & Bullet Shares products.
• Experience with regulatory environments such as SEC, 1940 Act, NI 81-102 is required.
• Excellent communication and interpersonal skills
• Strong analytical skills and attention to detail
• Ability to work both independently and as well as a team
• Effective computer skills
• Flexible and adaptable attitude
• Proficiency in MS Office suite of applications
• Familiarity with trading systems and compliance components such as ALADDIN, Charles River, Bloomberg AIM, LZ Sentinel.

Benefits

• Competitive Compensation
• Flexible, Hybrid Work
• 30 days' Annual Leave + Public Holidays
• Life Insurance
• Retirement Planning
• Group Personal Accident Insurance
• Medical Insurance for Employee and Family
• Annual Health Check-up
• 26 weeks Maternity Leave
• Paternal Leave
• Adoption Leave
• Near site Childcare Facility
• Employee Assistance Program
• Study Support
• Employee Stock Purchase Plan
• ESG Commitments and Goals
• Business Resource Groups
• Career Development Programs
• Mentoring Programs