Compliance Officer

Job Description

About the job
**** Work out of our Edmonton, Calgary and Toronto offices!

Opportunity:

This role is responsible for ensuring that client Investment Management Agreement, Investment Policy, AIMCo pool and strategy products, applicable regulations, and internal policies and guidelines are adhered to. As a member of the Compliance team, the Compliance Officer will provide professional support, assist Investment Compliance and provide training and education to the Investment teams.

Responsibilities:

Performing and completing investment monitoring activities to ensure compliance with applicable regulations, such as market surveillance rules and internal policies and guidelines.Identifying potential exceptions, analyzing them and determining their severity, and recommending solutions to resolve them with appropriate parties.Actively monitoring trading throughout the day to ensure suitability and reasonability of trades.Providing support and guidance to staff outside of compliance department.Documenting and revising department procedures.Identifying and proposing efficiencies in Investment Compliance processes includes trading systems and reporting.Identifying and resolving issues on Compliance reporting from trading platforms.Representing the Compliance Department at internal meetings; assess impact and provide clarity on compliance requirements as required.Perform User Acceptance Testing on new products/systems/rules introduced to AIMCo.

Our Ideal Candidate:

Minimum of 1–3 years of experience in investment compliance, trade surveillance and regulatory compliance, with experience within a financial institution, audit, risk management or investment management.Successful completion of a CFA advantageousUnderstanding of financial markets, institutional asset management, investment regulations and best practices relating to internal controls and proceduresBroad exposure to financial instruments and derivatives.Experience with Order Management Systems – Charles River/Calypso/AladdinSQL, PowerBI, VBA, Excel, Word, PowerPoint, PythonStrong verbal and written communication skills.Self Motivated Team Player