SLFJP00005248 Senior Compliance Analyst

Reporting to the Director, Risk Governance – Regulatory reporting, the core accountabilities of the Senior Analyst, Risk Governance include assisting in managing the renewal of various offering documents for SLGI and regulatory projects relating to the implementation of new regulatory requirements and enhancing adherence to existing requirements. The Senior Analyst, Risk Governance will also manage the collection of information required to support SLGI’s reporting to the Independent Review Committee.

The working environment is very dynamic and fast paced, where innovation is highly encouraged, and existing processes are continually being enhanced. The Senior Analyst, Risk Governance will work closely with the Director, Risk Governance and Manager, Risk Governance, in addition to frequent collaboration with our Compliance, Legal, Product, Portfolio Management, Corporate Secretary and Finance partners.

What will you do?

Assist with responsibilities relating to administration of the Independent Review Committee (IRC); such responsibilities will include but not be limited to information and data gathering, and follow-ups, as required to prepare the meeting materials
Provide support with managing the annual renewal process of SLGI’s offering documents, including the Simplified Prospectus, Fund Facts and Annual Information Form for prospectus-exempt funds
Responsible for documenting internal reviews of applicable regulatory requirements
Partner with various stakeholders to collect relevant information and where required update procedures, training materials or other internal documents
Assist with various responsibilities relating to Business Continuity Planning
Provide functional support and assist other team members for various duties, as delegated
Act as back-up for other team members

What do you need to succeed?

The ideal candidate will possess a legal and/or compliance background and/or experience in a controls function in a mutual fund firm
Honest, ethical and trustworthy attitude;
Highly organized, detailed oriented mindset, strong ability to multi-task and confident handling a diverse range of responsibilities in fast paced environment
Pro-active and self-motivated team player that has the ability to effectively prioritize
Can-do attitude and adaptable personality with great collaboration skills and genuine desire to work in a high-performing team environment
Strong time management, written and verbal communication skills
Strong MS Office skills – including good grasp of Excel/ PowerPoint

Advantages
Contract can be extended
Hybrid or 100% Remote option available
Team of 3 people

Responsibilities

What are the main 3-5 technologies of the resource? MS Office (Word, Excel, PPT), Calculated Design, Diligent, Litera Compare
1. Assist with administration of the Independent Review Committee (including preparation of relating materials and creating meeting book in Diligent); 2. support renewal of the Annual Information Form / Simplified Prospectus / Fund Facts (accountability is primarily to coordinate with functions, consolidate comments and subsequently update offering documents; will also be responsible to generate Fund Facts using Calculated Design system), 3. support activities relating to Business Continuity Planning (mostly coordinate with functions for updates to Business Continuity Plan, analyze data re: call tree tests, research for best practices), 4. Monitor shared mailboxes, 5. Assist with procedure updates.


Qualifications
Detail-oriented, strong MS Office skills – good grasp of Excel and PPT, highly organized, written and verbal communication skills. Ideally compliance and/or legal experience. Industry courses such as Canadian Securities Courses are highly desired. Ideally functional knowledge of National Instruments of NI 81-101, 81-107, 31-103.

Summary
Requirements:
3+ years of experience in Similar Capacity
Investment experience especially from Mutual Fund Firms is considered a huge asset

1.Assist with administration of the Independent Review Committee (including preparation of relating materials and creating meeting book in Diligent); 2. support renewal of the Annual Information Form / Simplified Prospectus / Fund Facts (accountability is primarily to coordinate with functions, consolidate comments and subsequently update offering documents; will also be responsible to generate Fund Facts using Calculated Design system), 3. support activities relating to Business Continuity Planning (mostly coordinate with functions for updates to Business Continuity Plan, analyze data re: call tree tests, research for best practices), 4. Monitor shared mailboxes, 5. Assist with procedure updates.

Randstad Canada is committed to fostering a workforce reflective of all peoples of Canada. As a result, we are committed to developing and implementing strategies to increase the equity, diversity and inclusion within the workplace by examining our internal policies, practices, and systems throughout the entire lifecycle of our workforce, including its recruitment, retention and advancement for all employees. In addition to our deep commitment to respecting human rights, we are dedicated to positive actions to affect change to ensure everyone has full participation in the workforce free from any barriers, systemic or otherwise, especially equity-seeking groups who are usually underrepresented in Canada's workforce, including those who identify as women or non-binary/gender non-conforming; Indigenous or Aboriginal Peoples; persons with disabilities (visible or invisible) and; members of visible minorities, racialized groups and the LGBTQ2+ community.

Randstad Canada is committed to creating and maintaining an inclusive and accessible workplace for all its candidates and employees by supporting their accessibility and accommodation needs throughout the employment lifecycle. We ask that all job applications please identify any accommodation requirements by sending an email to accessibility@randstad.ca to ensure their ability to fully participate in the interview process.