Senior Compliance Specialist

Elevate your compliance career with KAI Asset Management as a Senior Compliance Specialist in Winnipeg. Drive compliance administration, KYC reviews, and regulatory adherence in a collaborative environment.

KAI Asset Management seeks an experienced Senior Compliance Specialist to enhance our compliance program and facilitate regulatory obligations. This role involves supporting KYC, AML monitoring, and maintaining compliance records while continually improving compliance processes. Ideal candidates will possess solid experience in financial services and a drive to advance in their compliance expertise.

Key Responsibilities:

• Administer daily operations of the compliance program

• Review KYC information and Investment Policy Statements

• Conduct compliance monitoring and testing activities

• Prepare regulatory filings and manage audits

• Deliver employee compliance training and resources

Requirements:

• 5+ years of compliance experience in financial services

• Strong understanding of Canadian securities legislation

• Proficient in compliance monitoring and reporting

• Excellent analytical and organizational skills

• Relevant industry designations are an asset

Show your expertise in compliance, KYC, and regulatory adherence at KAI Asset Management in Winnipeg.
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