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
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📍 Guelph