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Manager, Compliance
Mahoney Asset Management. Provide day-to-day compliance guidance on sales, marketing and distribution activities .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive compliance expertise in sales, marketing, and distribution activities, with a strong focus on AML, KYC, and regulatory requirements. Proven ability to lead compliance projects, develop policies, and collaborate effectively across departments.
Highest-signal resume keywords
Compliance ExperienceKnowledge Of Canadian Securities RegulationAML And KYC ComplianceProject Management SkillsVendor Management Experience
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance GuidanceSales Practices ReviewMarketing Material ReviewProcess ImprovementRegulatory Change SupportClient Due DiligenceRegulatory FilingsCompliance MonitoringTechnology-Enabled SolutionsRecord-Keeping
Soft Skills
Analytical SkillsOrganizational SkillsClear CommunicationSound JudgmentCollaborative Mindset
Certifications & Qualifications
Relevant Securities CoursesCompliance Designations
Industry Keywords
Asset ManagementInvestment FundsSecuritiesFinancial ServicesExempt-Market Dealers
About the role
Key responsibilities & impact- Provide day-to-day compliance guidance on sales, marketing and distribution activities
- Review sales practices requests and marketing materials, including presentations, digital content, campaigns and social media
- Manage and coordinate compliance vendors, including ongoing requirements, enhancements and issue resolution
- Support and lead compliance projects, including process improvements, regulatory changes and technology-enabled solutions
- Support AML and financial crime compliance, including monitoring, escalations and documentation
- Support KYC requirements, client onboarding and due diligence, and KYP reviews of new products and material product changes
- Monitor industry and regulatory changes and advise stakeholders on their impact
- Help develop and implement compliance policies, procedures, controls and training
- Support compliance monitoring, regulatory filings, management reporting, audits and regulatory reviews
- Partner with Sales, Marketing, Product, Operations and Technology
- Report to the Senior Director, Compliance
Requirements
What you’ll need- Post-secondary education in Business, Finance, Commerce, Law or a related field
- 5+ years of compliance experience in asset management, investment funds, securities or financial services
- Strong knowledge of Canadian securities regulation for investment-fund managers, portfolio managers and exempt-market dealers
- Experience in sales, marketing and distribution compliance, including reviewing client-facing materials
- Practical knowledge of AML, KYC, KYP, suitability, client due diligence and record-keeping
- Experience leading or supporting cross-functional projects and regulatory change initiatives
- Strong analytical, project-management and organizational skills
- Clear written and verbal communication
- Sound judgment, integrity, discretion and attention to detail
- Collaborative, proactive mindset
- Asset: experience managing compliance vendors or technology-enabled processes
- Asset: relevant securities or compliance courses and designations
Benefits
Comp & perks- Discretionary bonus
- Equity ownership program over time for top performers
- Profit sharing
- Extensive health and dental coverage
- Healthcare spending account
- Minimum of 15 vacation days
- Parental leave top-up
- Learning and development reimbursement
- Fitness reimbursement
- Charitable donation matching
- Corporate fitness reimbursement and discounts
- VersaFi memberships
- PICTON Investment Counseling and portfolio management services
- Volunteer matching
- Recognition awards
- Semi-annual performance bonuses
- Generous annual vacation entitlement
- Accessible recruitment process with accommodations available upon request