Senior Manager, Compliance

The Senior Manager, Compliance reports to the Chief Compliance Officer (CCO) and will primarily be responsible for helping maintain the integrity of Equiton by ensuring compliance with all regulatory requirements, including those set forth by the Securities Commissions and other regulatory bodies, as well as internal policies and procedures. This position will support the maintenance and enhancement of the Corporate Compliance Program that ensures adherence to compliance requirements. The Senior Manager, Compliance works closely with the sales, marketing, information technology leadership and other management to develop appropriate policies, identifies and promotes good business practices, manages the client complaint resolution process and conducts monitoring and testing.

Responsibilities

esProvides regulatory compliance advice and influences business/groups on the implementation of new products, solutions and/or servic

esConsults on automated systems to ass...