SP109 Securities Law Clerk/Compliance-Filled
Our client, a global leader in multi-manager investment strategies, is currently seeking a mid-level Corporate/Securities Law Clerk with compliance related experience to join their growing team. In this position, you will be responsible for receiving and reviewing periodic fund compliance reports; assisting with SEDAR filings; assisting in the preparation of reports to the Board of Directors on any issues relating to money manager compliance; obtaining information for annual refiling of prospectus and AIF documents and arrange for filing; reviewing all marketing materials for compliance with securities legislation, trademark and legal requirements; and ensuring that policies and procedures relating to the funds are current and in compliance with required legislation and supervise adherence to the policies and procedures.

SP108 Corporate Compliance Officer-Filled
Our client, a global leader in multi-manager investment strategies, is currently seeking a Corporate Compliance Officer to join their growing team. In this position, you must have a solid understanding of Securities Act Registration as you will be responsible for becoming proficient in the new National Registration Database; maintaining corporate and individual registrations for provinces; filing any corporate amendments with securities commissions and completing forms for any new corporate registration.

You will also be responsible for organizing board and shareholder meetings; maintaining corporate provincial filings and corporate Minute Books and Records; updating annually the Code of Ethics and maintaining a record of any non-compliance to be reported annually to the Board of Directors; and ensuring that policies and procedures are implemented to comply with new legislation.

SP107 Funds Compliance Officer-Filled
Our client, a global leader in multi-manager investment strategies, is currently seeking an Investment Funds Compliance Officer to join their growing team. In this position, you will be responsible for receiving and reviewing periodic fund compliance reports; assisting with filing on SEDAR the annual compliance reports on the funds; assisting in the preparation of a report to the BOD of any issues relating to money manager compliance; obtaining information for annual refilling of prospectus and AIF documents and arrange for filing; review all marketing materials for compliance with securities legislation, trademark and legal requirements; and ensure that policies and procedures relating to the funds are current and in compliance with required legislation and supervise adherence to the policies and procedures.

SP106 Junior Legal Counsel-Filled
Our client, a well-established financial institution, is currently seeking a junior lawyer to join its team. The responsibilities of the successful candidate will include:
- tracking changing/developing regulatory requirements and designing and implementing policies associated with such new requirements
- acting as liaison with external legal counsel and securities regulators
- assisting with litigation and client complaints
- assisting in employment related matters
- developing/updating compliance/policies and procedures manuals
- other legal related matters which may arise within an IDA and an MFDA member firm

A knowledge of corporate, securities and investment industry including the relevant legislative and regulatory frameworks is important.

The successful candidate will possess:
- 1 to 3 years experience in progressively increasing areas of responsibility within an investment or a mutual fund dealer compliance area or within a corporate/securities department of a large law firm
- excellent interpersonal and communication (verbal and written) skills
- ability to complete multiple tasks and meet various deadlines
- excellent organizational skills

SP105 Compliance-Filled
Our client, a leading financial institution, is seeking a lawyer to direct and manage their Compliance Department. In this position, you will be responsible for the development, implementation and monitoring of compliance procedures related to the financial services industry.

The ideal candidate will have a minimum of three years of compliance experience in the investment industry and thorough knowledge of the relevant legislative and regulatory frameworks. Mutual fund experience will be considered a definite asset. As well, candidates should have experience in managing a group of compliance administrators.

The position offers a competitive compensation package and a challenging work environment. If you have the requisite experience and excellent communication and organizational skills, then please apply to RainMaker Group.

SP104 Financial Compliance Examiner-Filled
The Examiner is responsible for performance of field examinations and in-office desk reviews of regulatory filings of audit jurisdiction firms in accordance with Canadian Investor Protection Fund minimum standards, provincial securities law and IDA by-laws and regulations. This person requires a professional accounting designation, preferably a Chartered Accountant or equivalent. Canadian Securities Institute education would be an asset (must pass the Canadian Securities Course within 6 months of employment and the Derivatives Fundamentals Course within one year of employment).

This position requires 2 - 3 years' experience as an auditor at a CA firm or as an internal auditor at a financial institution, or in regulatory reporting with an investment dealer is preferred. Good knowledge of the Canadian securities market and regulatory environment as well as understanding the operations of securities firms. Strong financial analytical skills. Effective communication of ideas and information orally and in writing. Ability to work under pressure. Superior organizational skills. Salary Range: $62,000 - $70,000 + Bonus

SP104 Financial Compliance Examiner-Filled
The Examiner is responsible for performance of field examinations and in-office desk reviews of regulatory filings of audit jurisdiction firms in accordance with Canadian Investor Protection Fund minimum standards, provincial securities law and IDA by-laws and regulations. This person requires a professional accounting designation, preferably a Chartered Accountant or equivalent. Canadian Securities Institute education would be an asset (must pass the Canadian Securities Course within 6 months of employment and the Derivatives Fundamentals Course within one year of employment).

This position requires 2 - 3 years' experience as an auditor at a CA firm or as an internal auditor at a financial institution, or in regulatory reporting with an investment dealer is preferred. Good knowledge of the Canadian securities market and regulatory environment as well as understanding the operations of securities firms. Strong financial analytical skills. Effective communication of ideas and information orally and in writing. Ability to work under pressure. Superior organizational skills. Salary Range: $62,000 - $70,000 + Bonus

IH011Compliance Officer, Corporate and Institutional Client Group - Filled
Merrill Lynch Canada, a leading financial management and advisory company, serves the needs of both individual and institutional clients with a diverse range of financial services including personal financial advice, securities underwriting, trading and investment banking.

The Corporate and Institutional Client Group ("CICG") is seeking a compliance officer to join their compliance and legal team. Reporting to the Senior CICG Compliance Officer, the successful candidate will be responsible for assisting and conducting compliance reviews of institutional debt and equity trading to ensure compliance with TSE rules and policies and other regulatory requirements. You will also assist in developing firm supervisory and compliance policies and maintain regular contact with exchanges and the IDA.

The ideal candidate will have 2 to 5 years of industry experience, preferably on a trading desk or with a regulator performing trading desk audits. You will have a strong understanding of brokerage functions, particularly with respect to trading rules, registration requirements and settlement rules. Completion of the Canadian Securities Course is a minimum requirement. Preference will be given to candidates with fixed income trading and/or derivatives trading experience.

This challenging position offers the opportunity to work and foster your career within a global organization. If you are a committed team player with excellent interpersonal and communication skills, then please contact Merrill Lynch's retained agents, RainMaker Group.

IH010 Head of Compliance & Legal - Filled
HSBC InvestDirect (Canada) Inc., a wholly owned subsidiary of HSBC Bank Canada, provides online brokerage services in North American and global markets. The company is part of the HSBC Group, a global financial banking and financial services group with over 5000 offices in 80 countries and territories.

HSBC InvestDirect (Canada) Inc. is seeking an experienced compliance officer to be responsible for the overall development, implementation and monitoring of all compliance matters and for the coordination and delivery of all legal services. You will be responsible for the review, analysis and monitoring of account activity to ensure compliance with the IDA and exchange policies, as well as internal policies and group compliance policy.

The ideal candidate will have a minimum of 3-5 years of retail compliance experience, preferably gained from a discount brokerage. You have the ability to function efficiently and decisively in a fast paced environment with multiple priorities. A university degree in law, finance or business administration is required, as well as completion of the Canadian Securities Course. Preference will be given to individuals who have completed the Partners, Directors and Officers Course, Conduct and Practices Handbook Examination, Canadian Options Course, Branch Manager’s Qualifying Examination and Registered Options Principal Examination.

This position offers a competitive compensation package and the opportunity to work within a global organization providing tremendous challenge and growth.

IH004 Senior Compliance Officer, Options & Special Products - Filled
The compliance Department of Merrill Lynch Canada is seeking an experienced compliance officer to be responsible for the compliance needs of the firm’s options and special product business. The person assuming this role will be the Designated Registered Option Principal and will be responsible for reviewing all option account documentation, determining whether accounts should be opened, and assigning trading limits. You will also be responsible for monitoring trades to detect concerns such as excessive trading, building of positions, suitability and faulty strategies, as well as resolving such concerns with appropriate branch managers or financial consultants. The position also requires the investigation and effective resolution of all client complaints in this area.

The ideal candidate will have extensive experience with a full-service securities firm or regulator in compliance/credit matters relating to options including margining of options, trading, strategies and surveillance. Preference will be given to individuals who have successfully completed the Canadian Securities Course, Canadian Options/Derivative Course, Canadian Options Supervision Course, Canadian Futures Supervision Course and the Partners, Directors and Officers Course.

 
CLICK HERE to inquire about any of the above positions. Please include the reference # in your e-mail.