Associate, Compliance

Job title:

Associate, Compliance

Company

Picton Mahoney Asset Management

Job description

Great Place to Work™ 2020 – 2024 | Best Workplaces™ with Most Trusted Executive Teams 2024 | Best Workplaces™ in Financial Services & Insurance 2020 – 2024 | Best Workplaces™ for Mental Wellness 2023, 2024 | Best Workplaces™ for Giving Back 2022, 2024 | Best Workplaces for Inclusion™ 2024 | Best Workplaces™ in Ontario™ 2024One of Canada’s Most Trusted Investment Brands.At Picton Mahoney Asset Management, being alternative isn’t just what we do—it’s who we are.Founded by industry pioneer David Picton, we’ve spent 20 years challenging conventional wisdom and redefining the investing landscape. As one of Canada’s most trusted investment brands, we are proudly independent—privately run, 100% employee-owned, and deeply committed to delivering results for our clients.Thinking Alternatively is in Our DNA.With a team of 160 bold thinkers—one-third dedicated solely to investment management—we are specialists, not generalists. Managing $12 billion for institutional and retail clients, we navigate markets with conviction, resilience, and a forward-thinking approach.We’re more than investors — we’re innovators. We challenge traditional investment mindsets, constantly pushing the boundaries to achieve our mission: To bring greater certainty to investors.Our success is built on four guiding principles:

• Treat investors’ money like our own.
• Redefine the way investors invest.
• Be human—always approachable.
• Succeed together, one investment at a time.

These aren’t just words—they define how we think, how we invest, and how we work.Now, we’re entering our next chapter. We’re transforming our brand and reshaping the way the world invests. If you think alternatively, embrace an entrepreneurial spirit, and thrive in a dynamic, bureaucracy-free environment, join us and be part of what’s next.Thriving in Our Entrepreneurial CultureAt Picton Mahoney, you’ll thrive in our creative and dynamic workplace, where collaboration and support are at the core of everything we do. At our firm, you’ll have the opportunity to take on significant responsibilities, work in a flexible environment, and tackle challenging projects from the outset. Our culture is designed for ambitious professionals who want to make an immediate impact while continuing to push boundaries and achieve our greater mission. You’ll be empowered with a high level of responsibility, trust, and flexibility, providing an exciting and creative space for you to help reshape how the world views alternative investments. With competitive total rewards, performance-based bonuses, and a clear path for career growth, you’ll have everything you need to develop both now and over the longer term.The OpportunityOur compliance team is seeking a Associate, Compliance to manage the day-to-day compliance program and lead the charge on various compliance-related matters. Reporting the Compliance Manager, the role encompasses monitoring, overseeing and reporting on all areas of compliance including trading and investment, code of ethics and business conduct compliance, marketing review, financial crime, privacy and anti-spam compliance.You’ll have the opportunity to learn and lead:

• Manage and conduct day-to-day trading and investment monitoring and testing program and related reporting
• Code of ethics compliance (personal trading, employee certifications, gifts and entertainment, outside business activities)
• Manage the implementation and tracking of training and educational programs for employees
• Review sales practices requests
• Assist in the review of marketing materials, including social media monitoring
• Assist with firm and individual registration matters
• Assist with client onboarding
• Day-to-day financial crime compliance monitoring (anti-money laundering, anti-terrorism, sanctions)
• Assist with privacy and anti-spam compliance matters
• Develop and maintain a knowledge and awareness of investment industry, regulatory and/or policy changes with potential impact on firm’s business, compliance program and/or reporting requirements
• Advise internal stakeholders on various compliance and regulatory matters
• Assist with regulatory filings, developing and implementing policies, periodic reporting to senior management and managing and coordinating readiness for regulatory reviews

What we’re looking for

• 1-2 years’ experience in the mutual fund/asset management industry with related compliance or regulatory background
• Completion of Canadian Securities Course (or equivalent)
• Undergraduate degree
• Awareness of Canadian securities legislation, including NI 31-103, NI 45-106, NI 81-102, NI 81-105
• Strong research, problem solving and analytical skills
• Self-motivator with ability to work independently as well as in a team
• Accountable, accurate and detail-oriented, exceptional follow-through
• Excellent organizational and project management skills
• Excellent communication skills, both oral and written
• Strong proficiency in Microsoft Excel
• Experience with various investment/compliance systems including Bloomberg and Charles River is an asset
• Ability to effectively present data analytics to various audiences
• Ability to work and thrive in a fast-paced environment

Our Commitment to EmployeesAt Picton Mahoney Asset Management, we take pride in enhancing our employees’ experiences through a comprehensive suite of exceptional perks and programs. Our benefits include corporate fitness reimbursement and discounts, VersaFi memberships (formerly Women in Capital Markets), Picton Wealth investment counseling and portfolio management services, volunteer and charitable donation matching, maternity and parental leave top-up, recognition awards, semi-annual performance bonuses, a generous annual vacation entitlement (minimum of 15 days per year), training and development reimbursement, extensive health and dental benefits, a healthcare spending account, and more.These offerings are designed to support your career growth, well-being, and overall success. Join us and thrive in an environment that values and invests in you!Picton Mahoney Asset Management is committed to providing an equitable and fair work environment for everyone and all hiring and other personnel actions will be taken without regard to race, colour, creed, religion, sex, disability, gender identity, gender expression, family status, age, language or national origin. If you require an accommodation at any point in time throughout the application and hiring process, please contact Human Resources at (416) 955-4108 or at .Job Posting Closing Date: Friday, March 7th at 5:00 PM ESTPlease note that while we carefully review each application, only those candidates selected for further consideration will be contacted. We wish you all the best in your job search and future endeavors.

Expected salary

Location

Toronto, ON

Job date

Wed, 26 Feb 2025 07:19:58 GMT

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