Job Description

Referral Level: Level 1

Mackenzie Investments, founded in 1967, is a key part of IGM's business model, serving as a comprehensive asset-management partner for Canadian financial advisors and their clients.

At Mackenzie Investments, we believe being invested starts with our people. We are proud to be recognized as one of Canada's Top 100 Employers for the fourth consecutive year and one of Canada's Best Diversity Employers. Our vision and strategy aim to innovate the industry and support Canadians in achieving their financial goals.

Join our team to engage in continuous learning and skill development in a supportive environment. Experience the best of both worlds with our hybrid work environment, where you spend three days a week in the office, connecting, collaborating, and enjoying quality time with your amazing colleagues Our Values: Be better; we strive for improvement in everything we do. Be accountable; we foster clarity and are empowered to act responsibly. Be a team; we are united to drive collective impact to achieve our goals.

The Opportunity

We are looking for an experienced investment compliance professional to join our Asset Management Compliance team as Senior Manager, Investment Compliance - Institutional Accounts.

Reporting to the Director, Investment Compliance, this is a senior individual-contributor role with a particular focus on institutional account mandates and client-specific investment guidelines. As a subject-matter expert, you will play a leading role in interpreting complex client and regulatory requirements, translating those requirements into effective compliance controls,



and supporting the day-to-day operation of our institutional investment compliance framework.

You will work closely with Institutional Distribution, Investments, Legal, Investment Operations, Technology, and other Compliance teams to support a growing and increasingly complex institutional business.

What You Will Do

Lead institutional guideline oversight

- Interpret investment management agreements, investment policy statements, client guidelines and applicable regulatory requirements.
- Translate complex requirements into clear, practical and effective monitoring controls.
- Provide senior technical guidance on institutional investment compliance matters.

Support account onboarding and mandate changes

- Lead Investment Compliance participation in current account onboarding, mandate amendments, and transitions.
- Assess compliance and monitoring implications of new and changing client requirements.
- Coordinate the timely implementation of required controls.

Design and maintain investment compliance rules

- Design, develop, test, implement, and maintain complex institutional guideline rules in Bloomberg AIM Compliance.
- Apply established rule-development, testing, and independent-review standards.
- Monitor applicable rules, investigate alerts, and support ongoing rule and data integrity.

Manage compliance exceptions and breaches





- Independently assess and investigate institutional compliance exceptions.
- Determine appropriate corrective action within established parameters and coordinate remediation with business partners.
- Support timely and effective escalation and resolution of significant compliance issues.

Provide client and business support

- Work closely with Institutional Distribution on compliance requirements, monitoring matters, and breaches.
- Provide practical compliance advice to business partners on institutional investment compliance matters.
- Prepare customized and recurring compliance reporting to meet client, governance, and regulatory requirements.
- Support institutional client governance activities and recurring reporting.

Partner across the organization

- Work closely with Legal on the interpretation and implementation of institutional client agreements and guidelines.
- Partner with Investment Operations on Bloomberg rule testing and implementation.
- Collaborate with Investments, Institutional Distribution, Legal, Operations, Technology, Risk, and other Compliance teams to support institutional business priorities.
- Identify opportunities to enhance controls, processes, documentation and reporting.

Support broader regulatory responsibilities

- Support applicable regulatory compliance requirements, including regulatory analysis, implementation activities and stakeholder guidance.
- Serve as alternate FINRA supervisor when required.
- Develop procedures, guidance and training, and help build effective backup coverage and institutional investment compliance knowledge across the team.

What You Bring

- Six or more years of ass

📌 Senior Manager, Investment Compliance – Institutional Accounts (Toronto)
🏢 Mackenzie Investments
📍 Toronto