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