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Job Title: Law Clerk/Advisor, Compliance NEW ( ID: C5164 )
Career Category: Compliance, Corporate, Law Clerk, Regulatory Compliance
Posted Date: 2021-04-26
Location: Toronto
Job Description:

Our client, a professional investment management organization, is looking to add Law Clerk/Advisor, Compliance, to their team on a contract basis. Reporting to the Managing Director, Head of Compliance, the role is responsible for the management of the organization’s Compliance Management System, Trading System, and other compliance-related functions as assigned. In this role, you would be a member of the global Compliance team which is part of the Legal Department. The team is responsible for identifying and helping to manage the organization’s compliance obligations, navigating and complying with regulatory requirements that impact business and investment activities and Code of Conduct.


• Work with the Compliance team on assigned projects in support of the ongoing enhancement of the compliance management program and related systems;
• Preparing system and statistical reports using data from the compliance team’s systems;
• Working with the Compliance team, responsible for the functional management of the Compliance Management System, including ongoing administration of the system;
• Lead contact for user support during quarterly compliance cycle;
• Maintenance of the restricted trading list and pre-trade/pre-clearance system;
• Provide support to employees in connection with questions related to the organization’s pre-trade compliance system;
• Together with the Compliance team provide training and support on issues related to personal trading;
• Support the organization’s response to regulatory inquiries related to market activity.


You are the ideal candidate if you:

• Are a Law Clerk or Paralegal, or possess equivalent experience;
• Have a minimum of five years of relevant work experience (major law firm or corporate law or compliance department in a financial institution);
• Have demonstrated expertise in the use of a compliance management system;
• Have excellent time management skills;
• Have the ability to work effectively in a team dynamic.



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