Compliance Analyst
Content
Employment Type
Full-Time
Location
Oakville, Ontario (Full-time on site)
About Harvest Portfolios Group Inc.
Harvest Portfolios Group Inc. is one of Canada’s fastest growing ETF issuers. We are seeking a detail oriented and collaborative Compliance Analyst to support and enhance the compliance program.
Position Summary
This role offers hands-on exposure across investment and operations compliance, employee personal trading, marketing collateral review, regulatory filings, and compliance administration in a fast-paced investment fund manager/portfolio manager (IFM/PM) environment. This role is for an energetic, eager individual who wants to learn, is meticulous with details and has a keen desire to grow a career in compliance, with the opportunity to gain experience ranging from daily tasks to large projects.
Role Objective
- Provide reliable operational and oversight support for Harvest’s compliance programs, helping ensure policies, regulatory obligations, and internal controls are applied consistently and completed on time.
- Contribute to a risk-aware compliance culture by identifying exceptions, following up on outstanding items, maintaining accurate records, and escalating matters requiring review.
Key Responsibilities
- Conduct and support daily, weekly, monthly, and ad hoc compliance monitoring activities, including investment, operational, sales and marketing compliance, regulatory reporting, and documentation
- Maintain organized records supporting compliance reviews, decisions, approvals, audits, regulatory reviews, and internal reporting
- Assist with regulatory filings, due diligence, risk mitigation activities, audits, projects, and process improvement initiatives as directed
- Coordinate and ensure timely completion of assigned compliance and compliance-related administrative tasks
- Administer and monitor employee personal trading program
- Complete any other duties assigned by your supervisor
Job Requirements
- 1 to 2 years of experience in compliance, operations, or risk management within the Canadian financial services industry, preferably with an investment management firm or asset manager
- Detail-oriented, organized, and eager to learn, develop or build on compliance expertise with an investment management firm or asset manager
- Takes ownership of assigned work and follows through on deadlines
- Demonstrates sound judgment and the ability to identify issues requiring escalation
- Strong verbal and written communication skills
- Ability to work collaboratively in a demanding environment
- Ability to manage multiple priorities
- Ability to communicate clearly and interact positively with all levels of the organization with limited supervision
Your Credentials
- Post-secondary education in business, finance, compliance, or a related field; CSC or other relevant industry courses would be an asset.
- Working knowledge of securities regulation and registered firm obligations, including National Instruments 31-103, 33-109, 81-102, 81-105, 81-106, and 81-107.
- Strong Proficiency with Microsoft applications
- Strong analytical skills with the ability to work with large datasets and identify exceptions and trends.
- Experience using compliance monitoring, workflow, or business applications to track and document compliance activities.
The Harvest Advantage
- Competitive salary and benefits package.
- Positive and supportive company culture.
- Opportunity to grow your career.
How to Apply
Interested applicants can forward their resume with a cover letter to resumes@harvestetfs.com. We thank all applicants in advance for their interest, but only those candidates shortlisted for interviews will be contacted.