Scotiabank
Senior Compliance Officer at 1832 Asset Management
Job Description
Elevate your compliance career with 1832 Asset Management as a Senior Compliance Officer in Toronto. Emphasize compliance oversight, policy implementation, and stakeholder engagement in asset management.
This key role involves collaborating with the Asset Management Compliance team to uphold regulatory standards. Your responsibilities will include conducting compliance inquiries, building relationships with stakeholders, and enhancing existing compliance policies. Use your expertise to guide our compliance program and ensure adherence to best practices and industry regulations.
Key Responsibilities:
• Conduct compliance oversight for trading and portfolio management
• Investigate compliance breaches and escalate issues
• Build trusted relationships with portfolio managers and stakeholders
• Identify compliance gaps and recommend enhancements
• Assist with compliance reporting for oversight committees
Requirements:
• Minimum 4 years in financial services, pref...
This key role involves collaborating with the Asset Management Compliance team to uphold regulatory standards. Your responsibilities will include conducting compliance inquiries, building relationships with stakeholders, and enhancing existing compliance policies. Use your expertise to guide our compliance program and ensure adherence to best practices and industry regulations.
Key Responsibilities:
• Conduct compliance oversight for trading and portfolio management
• Investigate compliance breaches and escalate issues
• Build trusted relationships with portfolio managers and stakeholders
• Identify compliance gaps and recommend enhancements
• Assist with compliance reporting for oversight committees
Requirements:
• Minimum 4 years in financial services, pref...