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 strong 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 (Courtice)
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📍 Courtice