At a Glance
- Tasks: Monitor trade activity and ensure compliance with regulatory requirements in a dynamic environment.
- Company: Join Canada Life Investment Management, a trusted leader in financial well-being.
- Benefits: Enjoy competitive salary, health benefits, and career development opportunities.
- Other info: Flexible work locations and a commitment to community involvement.
- Why this job: Make a real impact by upholding compliance standards and supporting financial security.
- Qualifications: Experience in compliance or wealth management preferred; strong analytical skills required.
The predicted salary is between 62800 - 87800 £ per year.
Temporary Full Time - 12 Month Term - Canada Life Investment Management Ltd. (CLIML), a registered investment fund manager, portfolio manager, and commodity trading manager regulated primarily by the Ontario Securities Commission, is seeking a detail-oriented and proactive Compliance Analyst to join our Wealth Solutions team. CLIML is the manager of the Canada Life and Counsel Mutual Funds. As a Compliance Analyst, you will play a key role in maintaining a robust control environment and ensuring adherence to regulatory requirements. You will monitor and analyze trade activity, support regulatory filings, and collaborate with internal and external stakeholders to uphold compliance standards.
What you will do
- Conduct trade and holdings compliance reviews using Bloomberg and other analytical tools.
- Provide oversight of fund compliance by collaborating with sub-advisors and portfolio managers to gain insights into fund activity.
- Execute and document compliance-related controls, with a focus on personal trading. Responsibilities include reviewing and approving trade requests, tracking approvals, collecting and reviewing access persons' account statements to ensure compliance with the Personal Trading Policy.
- Support the Director of Compliance and the Chief Compliance Officer, CLIML, in identifying applicable regulatory requirements, assessing their impact on CLIML's operations, and supporting efforts to meet compliance obligations.
- Gather and organize information from diverse sources to assist and support both periodic and ad-hoc regulatory filings.
- Contribute to the preparation of monthly and quarterly reports for the Chief Compliance Officer and senior management, as well as quarterly reports for the Independent Review Committee.
- Identify and recommend enhancements to compliance-related processes to improve efficiency and effectiveness.
What you will bring
- Prior experience with mutual funds is preferred.
- Familiarity with Bloomberg Compliance Manager.
- Experience in compliance or wealth management, ideally within a securities-regulated entity.
- University degree in a relevant field.
- CPA designation is considered an asset.
- Knowledge of securities regulations, particularly National Instruments NI 31-103, NI 81-101, NI 81-102, NI 81-105, and NI 81-106, is an asset.
- Strong analytical and problem-solving skills.
- Results-driven with excellent prioritization and time management abilities.
- Exceptional written and verbal communication skills.
- Proven ability to work independently and collaboratively within a team.
- Demonstrated relationship-building skills across all organizational levels.
- Proficiency in Microsoft Office Suite.
Given the size and scope of our organization, we have the flexibility for this position to be located in the following head office locations: London, Toronto, Winnipeg.
The base salary for this position is between $62,800 - $87,800 annually. This represents base salary only and does not represent other variable compensation components of our total compensation (i.e. annual bonus, commission etc). If you are selected to move forward in our recruitment process, your recruiter will be able to discuss additional details of our total rewards program with you. Career opportunities will be open a minimum of 5 business days from the date of posting, closing dates will vary depending on the search activity. All applications received will be reviewed on a rolling basis.
Grow with Canada Life
We’re united by a shared purpose: to improve the financial, physical and mental well-being of Canadians. Our company is trusted by 1 in 3 Canadians and contributes to the strength of communities across the country. We’re looking for people who live our values every day: we step up, we do the right thing, and we deliver – for our customers, communities and each other. Are you someone who always strives to do the right thing, who steps up for themselves and others, and who delivers with impact? Then we want to hear from you!
What we offer:
- Career Development: Opportunities for career advancement, access to industry-leading learning programs and up to $2,000 annually towards education reimbursement.
- Health & Wellness: Flexible health and dental benefits, plus a $5,000 mental health benefit to support your well-being.
- Time Off: In addition to regular vacation and personal days, we support community involvement with a volunteer day.
- Financial Security: Company-matching pension plan, share ownership program and additional investment options.
- Rewards and Recognition: Employee recognition programs, service milestone celebrations, employee discounts and more!
- Emphasis on Community: We provide a workplace where employees feel connected and supported through Employee Resource Groups (ERGs), mentorship programs, social clubs and events.
Learn more about Canada Life. We’re committed to removing barriers and ensuring equal access to employment. Applicants requiring reasonable accommodation during the application process may contact talentacquisitioncanada@canadalife.com. All information provided will be handled in accordance with applicable laws and Canada Life policies. Canada Life would like to thank all applicants, however only those who qualify for an interview will be contacted.
Compliance Analyst - 12 Month Term in London employer: Canada Life
Canada Life Investment Management Ltd. is an exceptional employer that prioritises the growth and well-being of its employees. With a strong commitment to career development, flexible health benefits, and a supportive work culture, employees are encouraged to thrive both personally and professionally. The company's emphasis on community involvement and employee recognition makes it a rewarding place to work, particularly in vibrant locations like London, Toronto, and Winnipeg.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Analyst - 12 Month Term in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars, and don’t be shy about introducing yourself. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for interviews by researching Canada Life and its compliance practices. Familiarise yourself with relevant regulations and think of examples from your past experience that showcase your analytical skills. Show them you’re not just a fit for the role, but a perfect match for their team!
✨Tip Number 3
Practice makes perfect! Conduct mock interviews with friends or mentors. Focus on articulating your thoughts clearly and confidently, especially when discussing compliance-related scenarios. This will help you feel more at ease when it’s time for the real deal.
✨Tip Number 4
Don’t forget to follow up after your interview! A quick thank-you email can go a long way in leaving a positive impression. It shows your enthusiasm for the role and keeps you fresh in their minds as they make their decision.
We think you need these skills to ace Compliance Analyst - 12 Month Term in London
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter to highlight your relevant experience in compliance and mutual funds. We want to see how your skills align with the role, so don’t hold back on showcasing your analytical prowess!
Show Off Your Communication Skills:Since this role involves collaborating with various stakeholders, it’s crucial to demonstrate your exceptional written and verbal communication skills. Use clear and concise language in your application to reflect this.
Highlight Relevant Experience:If you’ve got experience with Bloomberg Compliance Manager or knowledge of securities regulations, make sure to mention it! We’re looking for candidates who can hit the ground running, so any relevant experience will give you an edge.
Apply Through Our Website:We encourage you to submit your application through our website. It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it’s super easy to do!
How to prepare for a job interview at Canada Life
✨Know Your Regulations
Familiarise yourself with the key securities regulations mentioned in the job description, like NI 31-103 and NI 81-101. Being able to discuss these regulations confidently will show that you understand the compliance landscape and are ready to contribute from day one.
✨Showcase Your Analytical Skills
Prepare examples of how you've used analytical tools, like Bloomberg, in previous roles. Be ready to discuss specific instances where your analytical skills helped identify compliance issues or improved processes. This will demonstrate your proactive approach to compliance.
✨Emphasise Team Collaboration
Since the role involves working with various stakeholders, think of examples where you've successfully collaborated with others. Highlight your relationship-building skills and how they contributed to achieving compliance goals. This will show that you're a team player who can work well within their Wealth Solutions team.
✨Prepare for Scenario Questions
Anticipate questions about how you would handle specific compliance scenarios, such as reviewing trade requests or managing personal trading policies. Practising your responses will help you articulate your thought process clearly and demonstrate your problem-solving abilities.
