Elevate your compliance expertise as an Associate Compliance Specialist in Mutual Funds with CGL. This hybrid role focuses on regulatory adherence and supporting Advisors in a dynamic financial services workplace. CGL is seeking an Associate Compliance Specialist to monitor compliance and analyze trading reports. With a commitment to continuous improvement, you will support Advisors in resolving compliance matters and enhance onboarding processes.

Your role is crucial in ensuring transactions meet regulatory standards in the Mutual Funds space. Key Responsibilities:

- Review daily transactions ensuring compliance with regulations
- Identify compliance issues and provide timely support and education
- Conduct audits, track progress,



and communicate expectations
- Coach Advisors and deliver compliance training sessions
- Collaborate with the Registrations team for onboarding new Advisors

Requirements:

- Two years of experience in Mutual Funds
- Post-secondary education in a related field
- Mutual Fund Licence and Branch Manager Compliance certification
- Advanced knowledge of Mutual Fund regulations
- Familiarity with financial planning principles

Shape compliance, enhance Advisor support, and ensure regulatory adherence at CGL.

📌 Compliance Specialist for Mutual Funds (Guelph)
🏢 Co-operators
📍 Guelph