Willoughby Asset Management Inc. is a member of the Harbourfront Group of Companies ("Harbourfront") is a energetic industry leader specializing in financial services and wealth management. We are a fast-growing wealth management firm with over $22 billion in assets under administration, comprised of five integrated entities: CIRO dealer, investment counsel, asset manager, U.Registered Investment Advisor (RIA) and insurance company. We are seeking a Compliance Analyst for our investment fund manager, Willoughby Asset Management Inc., The successful candidate will ensure that the firm’s operations and investment products comply with applicable Canadian regulatory requirements.

The candidate will report to the Chief Compliance Officer ("CCO") of Willoughby and work closely with various internal departments and external service providers on a small, fast-paced team. In this role you will gain access and experience in all areas of investment fund management, while assisting in monitoring internal controls, reviewing marketing materials, supporting regulatory filings and conducting other compliance reviews. Monitor regulatory developments from CSA, BCSC, CIRO and other applicable authorities

- Assist in the preparation and filling of regulatory reports




- Assist in maintaining and enforcing of compliance policies and procedures
- Support with the oversight of portfolio management practices, including but not limited to monitoring fund trading activity and adherence to the investment policy statement
- Review fund marketing materials and investor communications
- Assist with internal compliance audits and document testing
- Assist with compliance activities for fund changes, including but not limited to launches and terminations
- Support the CCO in maintaining and updating Conflict of Interest related documents, logs and materials at the firm
- Support the development and delivery of compliance training to staff
- Ad-hoc projects to meet business needs. Minimum 5 years compliance experience within Investment Fund Management
- Excellent communicator and creative thinking skills, always looking for process efficiencies. Diversity and Inclusion Diversity is an important value to us. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief. #

📌 Project Regulatory Specialist (Burlington)
🏢 Harbourfront Wealth Management
📍 Burlington