Job Description

Job Description

:

About the role:

The SLGI Compliance Manager reports to the Director and Deputy Chief Compliance Officer, SLGI Asset Management Inc. (SLGI AM) and will join a motivated, results oriented and dynamic Compliance team. In this role, you’ll support the second line of defense compliance function to ensure SLGI AM registrable activities as an Investment Fund Manager, Portfolio Manager and Exempt Market Dealer meet all governing regulatory requirements and internal policies. Additionally, you will support the Regulatory Compliance Management (RCM) Program activities for Investment Solutions which includes the manufacturing of insured wealth products, such as segregated funds, accumulation annuities, guaranteed investment certificates and payout annuities.

What will you do?

  • Administer Personal Trading Program activities such as onboarding and training Access Persons, monitoring pre-clearance requests, reviewing of brokerage account sta...

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