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Compliance Officer - Toronto (9-month contract) Job Details
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| Compliance Officer - Toronto (9-month contract) | |
| Sector, Sub Sector: | Other |
| Compliance Type: | Regulatory/Compliance |
| Expertise: | - |
| Company: | Legg Mason |
| Location: | Toronto |
| Employment Type: | - |
| Job Description: |
Legg Mason Canada is uniquely positioned to provide Canadian investors with access to the leading investment products of our affiliates. Legg Mason Canada serves the institutional and third party investment communities, offering separately managed strategies and pooled funds to meet the specialized needs of pension plans (defined benefit and defined contribution), public funds, government agencies, universities, charities, foundations and financial service intermediaries. Description: Our Toronto office is currently seeking an experienced Compliance Officer. Reporting to the Chief Compliance Officer, your primary responsibilities will include compliance monitoring and testing and reviewing and approving marketing materials. Maturity, discretion and good judgment are integral to this role, as is the ability to multi-task. Key Responsibilities: * Perform detailed compliance monitoring and testing, including guideline monitoring. * Review and approve marketing material for compliance with securities regulations and firm policy. * Provide compliance certificates to clients and third parties * Monitor personal trading of employees * Assist with regulatory and internal compliance examinations Qualifications and Experience: * Minimum 3 years of compliance experience in the financial services industry, including at least 1 year as a compliance analyst conducting guideline monitoring (Charles River experience preferred). * Strong analytical skills. * Detail orientated. * Technologically proficient and knowledgeable. * Able to work independently and follow through issues to resolution. * Effective communicator. * Undergraduate degree or college diploma (preferably in Business or Accounting) and Canadian Securities Course (or equivalent industry course). |
| Job Ref No: | - |
