Compliance Specialist

David Aplin Group

  • Winnipeg, MB
  • Permanent
  • Full-time
  • 14 days ago
Stacey Danley at Aplin has partnered with our client, a well-established mutual fund dealer, on the search for a Compliance Specialist to join its dynamic operations team.Reporting directly to the Chief Compliance Officer, this role is ideal for a professional with a strong foundation in regulatory compliance who is looking to grow within a supportive and evolving environment.Please note this is a full-time permanent in-office position, located in downtown Winnipeg.Responsibilities:
  • Conduct Tier 1 or Tier 2 compliance reviews for mutual fund registrants
  • Manage NRD filings including registration, notices, and terminations
  • Assist in maintaining and updating internal compliance policies and manuals
  • Support KYP obligations through investment product committee work
  • Review marketing materials and co-op marketing submissions
  • Maintain accurate and organized compliance documentation
  • Participate in branch audits, advisor interviews, and occasional training sessions
  • Stay informed on regulatory changes and internal policy updates
  • Contribute to team development through continuous learning and information sharing
  • Take part in special projects and ad hoc compliance initiatives
Qualifications:
  • Post-secondary education in business, finance, or related field
  • 2+ years of experience in the securities or financial services industry
  • Completion of IFIC/CSC and/or Branch Manager courses (or willingness to obtain)
  • Proficient in MS Office (Excel, Word, PowerPoint, SharePoint)
  • Exceptional attention to detail, communication, and organizational skills
  • Proven ability to manage competing deadlines and adapt in a fast-paced environment
  • Client-focused mindset with strong relationship-building capabilities
David Aplin & Associates Inc., operating as Aplin, and its associated brands, CompuStaff and Impact Recruitment, is an award-winning employment agency connecting diverse, top-tier talent with exceptional organizations across North America. We welcome applicants from all backgrounds and charge no fees to apply or engage with our recruiters. Our clients partner with us to help expand and diversify their teams. Please note that all applicants must be legally entitled to work in Canada, including holding any necessary work permits.

David Aplin Group