Department: CFIS Compliance Employment Type: Regular Full time Language: This role operates in English. We are a leading Canadian financial services co-operative committed to being a catalyst for a sustainable and resilient society and our team is essential to deliver on this strategy. The best part is that you will work with people that care passionately about you, our clients, and our communities.

As the Associate Compliance Specialist, Mutual Funds, you will monitor compliance and review trading reports to ensure transactions meet regulations. You will offer support to Advisors in resolving compliance issues and provide onboarding expertise to facilitate learning. Reviewing daily transactions and activities to ensure compliance with Mutual Fund dealer expectations and regulatory requirements.

Identifying compliance concerns and providing support, education and expertise to ensure issues are resolved in a timely manner. Providing coaching to Advisors, delivering training, setting expectations and identifying development opportunities. You influence change and are committed to continuous improvement, in order to exceed client expectations.

You may travel occasionally. You have a Mutual Fund Licence and a Branch Manager Compliance certification.



You have advanced knowledge of Mutual Fund regulations and compliance guidelines for sales and transactions.

You have working knowledge of financial planning principles, sales, process and behaviour. Training and development opportunities to grow your career. Flexible work options and paid time off to support your personal and family needs.

Paid volunteer days to give back to your community. In addition to our competitive salary and incentive programs, eligible employees also benefit from a comprehensive total rewards package including group retirement savings plans, pension and benefits (e.g., health and wellness, dental, disability and life coverage), mental health support and an employee assistance program. The salary amount for the successful candidate is determined by Co-operators in its discretion and will vary depending on several criteria including but not limited to: local market conditions, geography and relevant job-related factors such as knowledge, skills, qualification, experience and education.

Employees may also have the opportunity to participate in incentive programs and earn additional compensation tied to individual and/or business performance, or other business metrics. #

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