Shape the future of compliance at CGL as an Associate Compliance Specialist. This full-time hybrid position emphasizes mutual funds compliance and Advisor training. CGL is committed to fostering a culture of sustainability and resilience in financial services.

As the Associate Compliance Specialist, you will play a crucial role in monitoring transactions, supporting Advisors with compliance issues, and facilitating onboarding processes. Your robust communication and critical thinking skills will help bridge compliance gaps effectively. Key Responsibilities:

- Monitor daily transactions for compliance with dealer expectations
- Identify and resolve compliance issues swiftly
- Conduct comprehensive audits and submit progress reports
- Train and coach Advisors in compliance matters
- Collaborate with the Registrations team for onboarding assistance Requirements:
- Two years of Mutual Funds industry experience
- Post-secondary education in a related field
- Valid Mutual Fund Licence and compliance certification
- Deep understanding of Mutual Fund regulations
- Knowledge of financial planning principles and behaviors Utilize your expertise to enhance compliance efforts at CGL and support your fellow Advisors.

📌 CGL Compliance Specialist with Training Focus (Guelph)
🏢 Socket.dev
📍 Guelph