Senior Compliance Analyst, Asset Management

At Equitable, we believe great things happen when we work together. We're a Canadian mutual company driven by purpose - putting people first and helping Canadians protect today and prepare for tomorrow. If you're passionate about making a difference and growing your career in an inclusive and collaborative environment, we'd love to hear from you.

Our culture is built on care, passion and curiosity. We put people above all else, strive to be our best and welcome new ideas to deliver positive outcomes.

Join our Asset Management team as a Senior Compliance Analyst, Asset Management, where you will play a key role in supporting compliance with applicable regulations and governing bodies, including the Ontario Securities Act, FINTRAC, OSC guidelines, the Insurance Act, and OSFI Guidelines. Reporting to the Director, Asset Management Compliance, you will support day-to-day compliance operations, regulatory oversight, trade supervision, reporting, and investment compliance program enhancements while gaining broad exposure to investment management operations.

This role offers the opportunity to work closely with investment teams, external fund managers, and regulatory requirements while contributing to a strong culture of governance, risk management, and continuous improvement.

Join one of the region’s top employers and be part of something that truly makes a difference.

This is a hybrid role. You will work in our office in Waterloo, ON a minimum of two (2) assigned, consecutive days every other week, plus a fifth (5th) assigned day per month. You are welcome to work from the office more than the minimum requirement and there may be some roles that are required to work in our office more than the minimum requirement.

• Conduct compliance monitoring and testing to assess adherence to investment policies, mandates, restrictions, regulatory requirements, and internal guidelines.
• Research and monitor regulatory developments, including securities legislation, insurance regulations, OSFI requirements, FINTRAC obligations, and AML requirements, preparing summaries, impact assessments, and implementation plans.
• Support the ongoing enhancement of the investment compliance framework, including policies, procedures, guidelines, internal controls, and compliance monitoring documentation.
• Produce monthly and quarterly compliance dashboards, KPI/KRI reporting, trend analysis, management reports, and committee reporting packages.
• Analyze investment holdings, transactions, personal trading activity, compliance exceptions, and portfolio data, making recommendations to management.
• Perform daily trade supervision and support pre-trade and post-trade compliance reviews, trade exception investigations, and trading report distribution.
• Maintain compliance breach and issue logs, track remediation activities, validate corrective actions, and prepare status reporting for management.
• Support regulatory filings, registrations, surveys, examinations, questionnaires, and information requests while maintaining compliance records and evidence for audits and reviews.
• Conduct due diligence reviews and oversight activities for internal and external fund managers, investment products, and funds, including onboarding, document collection, and periodic reviews.
• Assist with the development and maintenance of the investment compliance technology platform, including compliance monitoring, mandate testing, exception management, and investment oversight reporting within Finbourne and other portfolio management systems.

• University degree in Finance, Business, Accounting, Economics, Risk Management, or a related discipline.
• 3-5+ years of experience in…