Investment Compliance Lead

Mawer Investment Management Ltd.
Calgary, Alberta
Salary + Benefits
Sep 21, 2020
Oct 07, 2020
Job Function
Industry Sector
Asset Management
Employment Type
Full Time

Investment Compliance Lead – Legal & Compliance

Full Time, Calgary, AB or Toronto, ON

Be Boring. Make Money.™ is our approach, but we are anything but dull. We are a diverse team of professionals—all with a shared goal: to be the best.

We celebrate our unique and independent culture and we take pride in doing things a little differently than other investment firms. Our quest for excellence means that a career with Mawer is demanding. However, interesting challenges are plentiful, and bright ideas, tenacity, diverse opinions, and teamwork are expected and rewarded regardless of title and tenure. 

The Opportunity

As Mawer continues to grow in size and complexity, we are seeking an experienced compliance professional to lead our investment compliance and trade supervision program. This is an excellent opportunity to apply your experience at a top Canadian and global investment management firm committed to growing its global business. 

We are seeking an individual who demonstrates a commitment to our core values: act with integrity, put clients’ interests first, pursue excellence, work as a team, and think long-term. 

The primarily responsibility for this role is to lead and develop the investment monitoring and trade supervision program at Mawer in accordance with applicable regulations, and internal policies and procedures. The Investment Compliance Analyst reports to the Deputy Chief Compliance Officer.

Primary Responsibilities

  • Participate in the implementation, maintenance, and enhancement of the investment monitoring and trade supervision program with our future operating system, SimCorp Dimension
  • Responsible for overseeing and reporting Investment Policy Statement (IPS) compliance monitoring through pre- and post-trade monitoring for our clients
  • Code and maintain rules in our current compliance system Charles River to reflect the applicable regulatory and IPS requirements 
  • Monitor, and when required, prepare and submit regulatory filings for global shareholding disclosures
  • Conduct and enhance a testing program to assess compliance with policies and procedures and relevant rules and regulations set out by the firm’s policy manuals and applicable securities laws, regulations, and other legislation in Canada, the U.S., and Singapore 
  • Update policies and procedures and implement and document related process or procedure changes
  • Interpret new and updated regulatory/compliance requirements for trade monitoring, best execution, material non-public information, global shareholder reporting, and implement into business processes within required deadlines
  • Proactively provide compliance advice and consultation to business leaders, client teams, research, and trading
  • Continuous improvement of compliance process, workflows, and resources for client teams
  • Support the Legal & Compliance team overall and provide back-up for the other members of the team

Education, Skills & Qualifications

  • Minimum 7 to 10 years’ experience in compliance at a portfolio manager/investment management firm in Canada
  • Experience with pre-trade compliance monitoring in-order management systems such as Charles River or SimCorp Dimension
  • Experience with Salesforce, email monitoring, and global shareholder disclosure monitoring
  • University degree in any of the following: finance, accounting, economics, mathematics, or other relevant specialization
  • CFA or progress towards the charter would be an asset
  • Demonstrates project management, critical thinking, interpersonal and communication skills 
  • Ability to interpret new regulatory requirements and implement changes to business processes
  • Ability to work independently, think critically, multi-task, and make decisions in a fast-paced environment
  • Strong organization and prioritization skills with exceptional attention to detail
  • Ability to focus independently and also contribute effectively as part of a team

Why Mawer?

  • We are one of the most respected investment management firms in Canada. This role will directly contribute to our growth in discretionary portfolio management within our global investment firm. 
  • We provide the opportunity to learn and work alongside high-performing individuals, within a team that has consistently delivered exceptional long-term investment results and the highest levels of client satisfaction (our client retention is 99%). 
  • We are a highly professional meritocracy in which the quality of ideas supersedes hierarchy. At Mawer, talented individuals have the opportunity to progress quickly, regardless of tenure or experience.
  • Mawer offers the potential for ownership over time based on the firm’s selection criteria.
  • We have an exceptional and celebrated work culture, one that emphasizes excellence, integrity, teamwork, and long-term thinking.

Application Instructions

Applicants should visit to view this job posting and other Current Opportunities. Please submit your résumé and cover letter by October 7th, 2020. Only applications that include all required materials will be considered.

About Mawer

Established in 1974, Mawer Investment Management Ltd. is an independent firm that provides world-class, global investment management services across all major asset classes to a broad range of individual and institutional clients. We are proud of our reputation as one of Canada’s most respected investment management firms and strive to earn such respect by continually delivering long-term investment excellence, developing strong client partnerships, and living our core values. Mawer currently has over $67 billion in assets under management and employs over 200 people across locations in Calgary, Toronto, and Singapore. 

No telephone inquiries please.

We thank all applicants and advise that only those selected for an interview will be contacted.