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 current 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 recent 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.
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📌 Cgl's Associate Compliance Specialist Position Ontario
🏢 Co-operators
📍 Ontario