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Town of Whitchurch-Stouffville
Stouffville, Ontario, Canada
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Regulatory Assurance Manager, Investment Management
Private equity backed financial services group with an organic and acquisitive growth strategy seeks a Regulatory Assurance Manager to focus upon its investment management arm. The role sits within the group's central assurance function and will dual report to both the Compliance Officer for IM and the Group Head of Compliance. The job holder will contribute to the design of a robust risks & controls framework and be responsible for monitoring compliance within that, submission of regulatory applications including SMCR changes, managing the investment guideline overrides as well as conducting compliance reviews of marketing materials. Candidates are sought with compliance experience in the asset management industry and working knowledge of the relevant regulatory regimes such as Mi
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