• Associate Manager, Investment Compliance

    Job Location CA-MB-Winnipeg
    Posted Date 2 weeks ago(1/2/2019 9:00 AM)
    Job ID
    Great West Life
    Job Category
    Job Type
    Full Time
    Job Industry
    Financial Services and Banking, Insurance
    Career Level
    Experienced, Management
    Posted End Date
  • Job Description

    Reporting to the Manager Investment Compliance, The Associate Manager, Investment Compliance is accountable for the effective and efficient management of the compliance matters in the Investment Division. This includes working under the guidance of the Manager and the Senior Business Compliance Officer and with the business to identify and document any potential and actual material compliance issues, and ensuring the business has an appropriate and timely action plan. This role provides second line oversight of the regulatory risk management framework to our Investment team, providing expert advice and guidance to assist our business in meeting its regulatory compliance obligations as industry leaders in service to our customers.


    Given the scope of this role the position may be located in either Winnipeg or Toronto.



    • Oversee Compliance with Regulatory Requirements, Policies and mandates for the Canadian Investment Division including the preparation and review of reports
    • Oversee the development and management of the second line compliance monitoring  process within the Investment Division
    • Manage, control and review the process related to Equity Aggregation Reporting on a daily, monthly and quarterly basis; including maintaining and communicating the restricted trading lists and being responsible for communications and coordination as a member of the Power Aggregation Group
    • Conduct ongoing reviews of existing policies against current regulations to maintain mapping to ensure all relevant regulations are incorporated into management policies and processes; participate in any policy development as required 
    • Participate in regulatory update reviews and provide constructive input into emerging rules and regulations by researching legislation to provide appropriate guidance to the business on potential impacts 
    • Oversee and manage annual compliance attestations for the Investment Division 
    • Provide advice and guidance to the business as the compliance representative on projects within the Division.

    Qualifications and Competencies:

    • University level post secondary education in a related field
    • CFA or CFA level 3 Candidate OR CPA or LLB with completion of Canadian Securities Course or CFA Institute Investment Foundations Course
    • Progressive investment, compliance, audit or accounting related work experience (5+ years) demonstrating knowledge of the financial services industry and regulatory environment
    • Strong analytical skills with the ability to be able to interpret and understand complex finance and investment concepts, models and activities
    • Strong knowledge of Microsoft Office – Outlook, Excel, Word, Powerpoint, Access.
    • Demonstrated effective written and verbal communication skills with experience communicating to Senior and Executive Management
    • Experience in producing presentations for Senior Management and the Board of Directors including sound and easy to follow working papers.
    • Ability to work independently

    Discover your opportunity….Apply today!


    Great-West Life offers competitive compensation, great benefits such as medical, dental, life insurance, wellness account and personal days not to mention onsite cafeteria and fitness facilities.  If you’d like to join our team submit your information online and introduce yourself.


    Together Great-West Life, London Life and Canada Life serve the financial security needs of more than 13 million people across Canada, with additional operations in Europe and the United States. As members of the Power Financial Corporation group of companies, we’re one of Canada’s leading insurers with interests in life insurance, health insurance, investment and retirement savings. We offer a broad portfolio of financial and benefit plan solutions for individuals, families, businesses and organizations.


    We are committed to providing an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of the communities in which we live, and to creating an environment where every employee has the opportunity to reach their potential.



    Great-West Lifeco would like to thank all applicants, however only those who qualify for an interview will be contacted.



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