Compliance Manager

Overview

Oversee compliance with securities legislation and manage related policies.

Key Responsibilities

• compliance monitoring
• trade supervision
• product due‑diligence
• record keeping
• regulatory reporting
• ad review

Tasks

-Establish and maintain policies and procedures for assessing compliance by CW Canada and individuals acting on its behalf, with securities legislation. -Supervise trades in a manner expected of an exempt market dealer. -Monitor and supervise sales practices. -Monitor adherence with such policies, procedures, rules and regulations and to report and advise senior management and the Board accordingly. -Submit an annual report to the Board for the purpose of assessing compliance by CW Canada and individuals acting on its behalf, with securities legislation. -Monitor and assess compliance by CW Canada and individuals acting on its behalf, with securities legislation. -Enforce compliance policies and guidelines by those responsible for supervision. -Conduct KYP due-diligence on products to be offered to clients. -Monitor and consider on-going regulatory guidance from the CSA and assess its applicability to CW Canada. -Maintain records to accurately record CW Canada’s business activities, financial affairs, and client transactions and demonstrate CW Canada’s compliance with securities legislation. -Create awareness of CW Canada’s procedures and policies as well as rules and regulations with which all personnel are required to comply. -Review all external advertisements and sales communications. -Review product documentation; (n) review client account documentation. -Review and assess potential conflicts of interest. -Handle complaints and provide training on these policies and procedures and other compliance– related matters.

Requirements

• exempt exam
• canadian securities
• pdo exam
• cco exam
• 5+ years
• compliance

What You Bring

-Required to have passed either of the exempt market products exam or the Canadian securities course exam. -Securities industry experience in the compliance area is required -Required to have passed either of the PDO exam (officers’, partners’ and directors’ exam offered by IFSE institute or partners, directors and senior officers course exam offered by CSI global education inc.) or the Chief Compliance Officers qualifying exam. -5+ years experience in Compliance -At least 12 months of such experience in the last 36 months is required

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About Cushman & Wakefield

-With operations across ~400 offices in 60+ countries, it bridges global scale with deep local market insight. -Typical projects range from agency leasing and capital-markets advisory to project development and integrated facilities management. -The firm specializes across sectors including data centers, industrial/logistics, life sciences, retail, government, and healthcare. -A standout fact: it advises marquee assets like ports, rail hubs, and sports venues.

Sector Specialisms