CGL seeks an Associate Compliance Specialist in a hybrid role focused on mutual fund regulations. Your work will involve transaction reviews and providing compliance support to Advisors. In this full time role with the CFIS Compliance team, you will ensure adherence to mutual fund regulations by monitoring daily activities and resolving compliance concerns.

You are expected to conduct audits, deliver training, and assist in onboarding recent Advisors, making a substantial impact within the co-operative culture. Key Responsibilities:
Review mutual fund transactions to ensure compliance
Identify and provide solutions for compliance issues
Conduct audits and submit reports on progress
Provide training and set expectations for Advisors
Liaise with Registrations team for current Advisor onboarding Requirements:
Two years of Mutual Funds experience required
Post-secondary education in relevant discipline
Certified with Mutual Fund Licence and compliance credentials
Advanced mutual fund regulatory knowledge
Familiarity with financial planning and sales processes Leverage your compliance skills to foster a culture of support and excellence at CGL.

📌 Cgl's Associate Compliance Specialist Position Burlington
🏢 Co-operators
📍 Burlington