Manager, Investment Funds Ltd Compliance

Requisition

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

Contributes to the overall success of Tangerine Investment Funds Limited (TIFL) in Canada by ensuring initiatives are executed and delivered in support of the department's business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies, and procedures. Supports the Senior Manager, Compliance and Director, Compliance in maintaining an effective compliance management framework through the development and maintenance of policies and procedures, regulatory research and analysis, compliance advisory support, and execution of regulatory readiness initiatives.

Assists in ensuring the organization remains compliant with applicable securities regulations, industry requirements, and internal governance standards.

• Assists in the development, review, maintenance, and implementation of compliance policies, procedures, standards, and guidelines to support adherence with applicable regulatory requirements and industry best practices.
• Conducts research and analysis on applicable regulatory requirements, compliance guidance, industry notices, enforcement actions, and emerging regulatory developments to assess potential impacts on TIFL's business activities.
• Monitors regulatory developments from CIRO, the Canadian Securities Administrators (CSA), provincial securities regulators, and other applicable regulatory bodies, communicating relevant changes and business impacts to stakeholders.
• Provides compliance advisory support to business partners by interpreting regulatory requirements and assisting with the implementation of compliance obligations within business processes and operational activities.
• Supports the review of new and existing business initiatives, projects, products, and process changes by identifying applicable compliance requirements and assisting in the assessment of regulatory risks.
• Assists the Director, Compliance in establishing and tracking regulatory readiness activities and milestones for new business initiatives, regulatory change projects, and enhancement programs.
• Maintains project trackers, action plans, and status reporting related to compliance initiatives and regulatory readiness activities, ensuring timely escalation of issues and delays.
• Assists in the identification, assessment, documentation, and monitoring of compliance risks and control requirements.
• Conducts research and gathers supporting information to respond to regulatory inquiries, examinations, compliance reviews, audits, and information requests.
• Drafts responses, briefing notes, submissions, and supporting documentation for review by the Senior Manager and Director, Compliance.
• Assists in coordinating the collection, validation, and submission of information required for regulatory examinations, audits, and internal reviews.
• Supports the development, maintenance, and enhancement of mandatory compliance training materials, job aids, awareness communications, and compliance-related guidance for employees.
• Develops reports, presentations, and briefing materials for compliance meetings, governance committees, and senior management.
• Builds and maintains effective working relationships with business partners, Legal, Risk Management, Operations, and other control functions to facilitate effective compliance risk management.
• Identifies potential compliance issues and escalates matters requiring management attention to the Senior Manager and Director, Compliance as appropriate.
• Understands how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
• Conducts monitoring and testing of…