Job Title or Location

Compliance Officer - Testing

Hamilton ETFs
Toronto, ON
Management
Company Benefits
Flexible Work
Posted 27 days ago This job may expire soon!

We are seeking a Compliance Officer with strong business acumen and objectivity to join our dynamic team and be a part of one of Canada's fastest growing exchange traded fund ("ETF") providers. Flexible work hours; 6 billion in ETF assets under management, we are seeking a motivated individual to join our entrepreneurial team of experienced and talented professionals. Here's what you will do as Compliance Officer: The Compliance Officer is an integral member of our compliance team. As Compliance Officer, you will work closely with, and report directly to, the Chief Compliance Officer ("CCO") and assist in meeting Hamilton ETFs ongoing regulatory, corporate and fiduciary obligations. Oversee various compliance functions detailed in Hamilton ETFs Compliance Manual and the ongoing review and maintenance with rule changes and guidance from various regulatory bodies; Conduct reviews of portfolio trades ensuring approvals and compliance with regulations and constating documents; Work closely with marketing and sales teams to educate, develop and evolve standard compliance guidelines and protocols for marketing collateral and sales communications; Support compliance audits and review of departmental materials and communications Oversee the implementation and monitoring of various compliance policies (i.e. Anti-Money Laundering and Proceeds of Crime , Social media, Cooperative Sales and Marketing, Protection of Personal Information, etc. Assist in the review of prospectuses, information forms, press releases, reports of fund performance, financial statements, etc. Support senior leaders with various initiatives including review and maintenance of HR policies and manuals, regulatory documents and continuous disclosure materials; Act as a regulatory resource and contact for all departments on all regulatory compliance issues and liaise with external resources where necessary for participation in written as well as oral proceedings; Research and report on various industry matters with impact analysis for our firm; Provide strategic input with regards to any potential compliance and/or regulatory barriers, which may arise as a result of a potential course of action by our firm Participate in special projects as assigned for the overall benefit of Hamilton ETFs. Bachelor's degree in business, finance or a related field; Minimum 2 years experience in a compliance environment for an ETF or mutual fund issuer; Working knowledge of related regulatory instruments and rules, particularly National Instrument ("NI") 81-102, 81-106, and 81-107; Broad understanding of the portfolio management process and its inherent risk components; Excellent written and verbal communication skills, in English and French (preferred); Sound judgement to identify, respond and resolve any regulatory or compliance matters; Ability to manage numerous tasks and projects simultaneously and manage deadlines; Proficiency with Microsoft Office, particularly Excel and Word; Assets: Familiarity with the operations of an ETF business; Completion of Partners, Directors and Senior Officers Course with Canadian Securities Institute; Bilingual in French a strong asset. Please let us know about any accommodation and/or support requirements. Please note we are only accepting applications from those authorized to work in Canada and we are not currently sponsoring any temporary or permanent work visas.