Provincial Compliance Officer      

Job Type: Full Time
Location: Mississauga, Ontario
Job Category: Financial, Mutual Funds, Securities
Company URL: http://www.londonlife.com/ 
 
Description:
Quadrus Investment Services Ltd. is looking for an individual to fill the role of Provincial Compliance Officer. Reporting to the National Compliance Officer, Quadrus Investment Services Ltd, you will be responsible for mutual fund trading activities that are conducted in the province of Ontario. The compliance officer is also responsible for ensuring that the managers, sales representatives and field administrative staff are well informed about regulatory and compliance matters.

Accountabilities:
•Report directly to the National Compliance Officer
•Educate branch managers and the sales force on their roles, responsibilities and compliance issues relating to mutual funds
•Conduct annual branch office reviews including client file reviews
•Supervise a Branch Compliance Analyst
•Communicate with Branch Managers on a regular basis to determine if there are any compliance concerns in the offices or issues that they are having difficulty understanding or resolving
•Liaise/communicate with securities regulators, industry representatives & participate on committees
•Understand the securities rules of the province and work with Associate Manager, Regulatory & Contract Management to ensure that these are complied with
•Interview and complete compliance checklists for investment representatives transferring to Quadrus

Qualifications and Competencies:
•Registered to sell mutual funds for a certain number of years – between 3 years and 5 years
•Pass the Officers, Partners and Directors examination
•CSC/IFIC sales designations
•Approved by provincial securities commissions in a trading capacity
•Comprehensive knowledge of provincial securities acts, regulations, policies
•Comprehensive knowledge of Mutual Fund Dealers Association’s rules and policies
•In-depth knowledge of sales force trading practices/requirements
•Knowledge of mutual fund dealer administrative processes
•Strong negotiation stills
•Excellent communications skills – both verbal and written
•Excellent Microsoft office skillsWe offer a challenging, team-oriented work environment, competitive income and benefits, and opportunities for professional and personal growth.

Please apply online by March 31, 2010.

We are committed to employing a diverse workforce and encourage all qualified individuals to apply. We will contact you if you are selected for an interview.