Support senior management team with the ongoing compliance requirements for Middlefield Group, including involvement with entities regulated by the OSC, FCA (UK), and IIROC.
Based in our Toronto office, the successful candidate will be relied upon to:
- Prepare and review compliance related filings
- Updating and maintaining compliance policies and procedures
- Assisting with regulatory audits
- Research and monitor for changes to regulatory requirements
- Draft recommendations for how Middlefield should implement new regulations
- Review sales communications to ensure compliance standards are being met
- Review trading activity to ensure compliance standards are being met
- Oversee record retention policy of compliance group
- Support staff with ongoing compliance education and training
- Identify ways to improve current processes through the use of technology
- Assist with other compliance projects and initiatives as needed
Desired Skills & Experience:
- Minimum of 2 years of compliance experience, preferably in the investment industry
- Excellent communication skills – verbal and written
- Strong knowledge of industry rules and regulations
- Experience working within the UK regulatory system (FCA) is strongly preferred
- Proficiency in MS Word and Excel. Experience with pivot tables and macros would be an asset
- Ability to manage multiple tasks, meet deadlines and be detail oriented
- Able to work independently as well as closely with a team
- Post-Secondary degree in Business, Finance, Economics, Law or other related discipline
- Completion of the Investment Dealer Supervisors Course (IDSC) (formerly known as the Branch Managers Course), or willing to complete immediately upon accepting position.
- Completion of the Partners, Directors and Officers Course (CSI or IFSE equivalent), CCO Qualifying Exam, and/or Conduct & Practices Handbook preferred
We thank all applicants for their interest. However, only those selected for an interview will be contacted. No telephone calls please. If you are interested in applying for this position, please send resume by email to: email@example.com.
Founded in 1979, Middlefield is a specialist and independent equity income manager headquartered in Toronto, Canada. Middlefield’s actively managed, award-winning funds are designed to be “investments that work for you” by distributing consistent and high levels of income through various market cycles. Middlefield’s funds span a number of market sectors including real estate, healthcare, innovation, sustainability, infrastructure and energy. Investors can access these strategies in a variety of product types including ETFs, Mutual Funds, Closed-End Funds, Split-Share Funds and Flow-through LPs.