Compliance Specialist

Permanent Full Time 

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The incumbent will play a critical role in ensuring the appropriate flow of work and communications between the President of the company, the Executive team, Board of Directors, and our clients. Reporting to the Manager of Compliance, the Compliance Specialist will be responsible for assisting the Compliance department with ongoing compliance activities of VPI, its mutual funds and its investment counseling services. This position has a broad range of responsibilities that is expected to expand as the company continues to grow.

What you will do:

• Conduct ongoing compliance activities for mutual fund operations.

• Conduct ongoing compliance activities for investment counsel operations. • Assist with the preparation and filing of the Prospectus, Annual Information Form, Fund Facts and Offering Memorandum documents.

• Assist with the onboarding process, ongoing account activities and recordkeeping of corporate shareholders. 

• Assist with the review of marketing materials and co-operative marketing requests. 

• Assist with the review of account opening documents for discretionary  managed accounts. • Assist the business development team to service  advisors and other clients.

• Maintain appropriate paper and electronic records.

• Other compliance and/or administrative tasks, as assigned.

• Keep abreast of changes to compliance procedures, firm policies, compliance manuals and rules, regulations, and requirements of securities regulatory authorities; and 

• Work to continually improve product and compliance knowledge by    completing industry courses, participating in seminars, workshops, and    conferences, proactively reading internal publications, industry news and    media releases, and sharing information and ideas with team members.

• Other miscellaneous duties and special projects as assigned.

What you will bring:

Education & Experience:

• University degree or college diploma.

• Canadian Securities Course/ Wealth Management Essentials/ CFP or PFP. 

• Knowledge/experience in the securities industry and regulatory environment (preferred). 

Technical Knowledge:

• Advanced knowledge of MS Office (Excel, Outlook, PowerPoint and  Word).

• Excellent writing (grammar) skills.

• Experience in working with portfolio management software.

Skills & Abilities: 

• Strong attention to detail.

• Strong verbal and written communication skills.

• Strong time management and organization skills.

• Strong listening skills & the ability to follow through.

• Must have exceptional problem-solving skills.

• Excellent customer-focused attitude with the ability to build collaborative  working relationships and commitment to providing extraordinary service to  high-net-worth clients.

• Advanced organizational skills, adept at managing and prioritizing multiple   tasks with competing deadlines.

• An ability to adapt quickly to changing needs and work requirements. 

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The base salary for this position is between $57,100.00 - $85,600.00 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 everyday: 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:  

We’re committed to supporting our employees through every stage of their career. Here’s what you can expect as a full-time or part-time permanent team member: 

• 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. 

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