Skip to content
CV Rocket
Get started
How it worksThe enginePricingBlogContactSign in

Open nowPosted 20 hours ago

Senior Compliance Analyst, Asset Management

Equitable83 open roles

Where
Waterloo, ON, Canada
Get the CV for this job

From $25 per CV, paid once. No subscription.

Your applicationOpen nowSenior Compliance Analyst, Asset ManagementEquitable · Waterloo, ON, Canada

  1. YouYes, apply to this one.

  2. CV RocketCV written for this posting.

  3. 25 readersRecruiter, hiring manager, skeptic. Round after round.

  4. CV RocketApplied on Equitable's own form.

The reply lands in your private mailbox

3×more interviews than doing it yourself with ChatGPT.

The clock on this job

Early applications get read.

7.8% of postings close within 7 days. Measured by our own scanner across the market.

Share of postings closed within
  1. 1.6%1 day
  2. 3.4%3 days
  3. 7.8%7 days
  4. 14.3%14 days
  5. 33.7%30 days
This job: posted 20 hours ago

The posting

The Opportunity: ​ At Equitable, we believe great things happen when we work together. We’re a Canadian mutual company driven by purpose - putting people first and helping Canadians protect today and prepare for tomorrow. If you’re passionate about making a difference and growing your career in an inclusive and collaborative environment, we’d love to hear from you.    Our culture is built on care, passion and curiosity. We put people above all else, strive to be our best and welcome new ideas to deliver positive outcomes.    Join our Asset Management team as a Senior Compliance Analyst, Asset Management, where you will play a key role in supporting compliance with applicable regulations and governing bodies, including the Ontario Securities Act, FINTRAC, OSC guidelines, the Insurance Act, and OSFI Guidelines. Reporting to the Director, Asset Management Compliance, you will support day-to-day compliance operations, regulatory oversight, trade supervision, reporting, and investment compliance program enhancements while gaining broad exposure to investment management operations. This role offers the opportunity to work closely with investment teams, external fund managers, and regulatory requirements while contributing to a strong culture of governance, risk management, and continuous improvement.  Join one of the region’s top employers and be part of something that truly makes a difference.     Work Arrangements: This is a hybrid role. You will work in our office in Waterloo, ON a minimum of two (2) assigned, consecutive days every other week, plus a fifth (5th) assigned day per month. You are welcome to work from the office more than the minimum requirement and there may be some roles that are required to work in our office more than the minimum requirement.  What you’ll do:

Conduct compliance monitoring and testing to assess adherence to investment policies, mandates, restrictions, regulatory requirements, and internal guidelines. Research and monitor regulatory developments, including securities legislation, insurance regulations, OSFI requirements, FINTRAC obligations, and AML requirements, preparing summaries, impact assessments, and implementation plans. Support the ongoing enhancement of the investment compliance framework, including policies, procedures, guidelines, internal controls, and compliance monitoring documentation. Produce monthly and quarterly compliance dashboards, KPI/KRI reporting, trend analysis, management reports, and committee reporting packages. Analyze investment holdings, transactions, personal trading activity, compliance exceptions, and portfolio data, making recommendations to management. Perform daily trade supervision and support pre-trade and post-trade compliance reviews, trade exception investigations, and trading report distribution. Maintain compliance breach and issue logs, track remediation activities, validate corrective actions, and prepare status reporting for management. Support regulatory filings, registrations, surveys, examinations, questionnaires, and information requests while maintaining compliance records and evidence for audits and reviews. Conduct due diligence reviews and oversight activities for internal and external fund managers, investment products, and funds, including onboarding, document collection, and periodic reviews. Assist with the development and maintenance of the investment compliance technology platform, including compliance monitoring, mandate testing, exception management, and investment oversight reporting within Finbourne and other portfolio management systems.

  What you’ll bring:

University degree in Finance, Business, Accounting, Economics, Risk Management, or a related discipline. 3-5+ years of experience in investment compliance, audit, risk management, investment operations, or asset management. Strong understanding of securities regulation, investment products, governance frameworks, compliance monitoring, and regulatory obligations. Experience supporting compliance programs, regulatory reviews, examinations, filings, and ongoing compliance reporting activities. Advanced Excel skills with the ability to perform complex data analysis, reconciliation, interpretation, and trend reporting. Experience with portfolio management and compliance systems such as Finbourne, BlackRock Aladdin, SimCorp One, or Charles River IMS. Demonstrated ability to analyze compliance exceptions, identify risks, investigate issues, and recommend practical solutions. Excellent written and verbal communication skills, including strong report-writing, presentation, and stakeholder engagement abilities. Strong organizational skills with exceptional attention to detail, integrity, problem-solving abilities, and the capacity to manage multiple priorities independently. Proactive and self-motivated individual capable of working independently and taking ownership of assigned tasks and responsibilities. Demonstrates strong interpersonal and collaboration skills working effectively with various stakeholders to compliance objectives. A continuous improvement mindset and progress toward or completion of a professional designation such as CSC, CIM, CFA, CRCM, or another relevant credential is considered an asset.

    What’s in it for you:  

Career Growth: Regular learning sessions and development opportunities   Total Rewards: Incentive pay, annual salary reviews, employer-paid benefits and pension matching Time Away: Competitive vacation plus one paid volunteer day each year  Flexibility: Healthy work-life balance with employee wellness always top of mind, complemented by a “dress for your day” approach 

  We’re committed to fair pay and an inclusive, accessible hiring experience. If you need accommodations or alternative formats at any stage, just reach out to us at [email protected]. We’re happy to help.   If you’re selected to move forward, our Talent Acquisition team will walk you through all the details of our total rewards program, so you know exactly what’s included. This position is open and we are excited to find the right person to join our team. Your base pay will be based on your skills, qualifications, experience and education.    At Equitable, your resume will be reviewed by real people and all hiring decisions are made by our recruiters and hiring managers. AI tools may be used to support administrative and productivity tasks throughout the recruitment process, but we believe that evaluating experience, skills, and talent potential requires meaningful human interaction.   As part of our commitment to maintaining a secure and trusted workplace, candidates selected to move forward in the recruitment process will be required to complete a background screening in accordance with company policy.       Reports To: Director, Asset Management ComplianceDepartment: Legal and Compliance  Term: Permanent Full-Time

From $25, paid onceGet the CV for this job

What happens when you press

One press. We do the rest.

  1. A CV for this posting

    Written against Equitable's own wording, from every piece of relevant proof in your profile.

  2. 25 readers review it

    Recruiter, hiring manager, skeptic and more read every draft, round after round. You get the best round.

    The review screen in CV Rocket: how each CV was read, round by round.

  3. We apply on Equitable's form

    Our application engine gets through the hardest forms there are. Where a question needs you, AI suggests the best answer. Don't want us applying from our IP addresses? Use our Chrome extension: we apply straight from your own browser.

    An application in CV Rocket: every answer filled in on the employer's form.

  4. Every reply, sorted

    Equitable's answer lands in your private mailbox, and we classify it on arrival: interview, question, rejection.

    The CV Rocket inbox: each employer reply classified as an interview, an action or a rejection.

  5. Reply with AI

    AI helps you write the email, checks it and sends it. We show you whether the recruiter read it.

  6. The interview in your calendar

    Full integration with your calendar. The invitation goes straight in.

    An interview invitation in the CV Rocket inbox, added to the candidate's calendar.
Get the CV for this job

From $25 per CV, paid once. No subscription.

Why it works

3×

more interviews than doing it yourself with ChatGPT.

ChatGPT writes a CV and never learns what happened to it. We see every reply. For each CV we know:

  • How it was written, and how the review scored it
  • When we applied, and how long after the posting went up
  • Which posting, which company, which city
  • Who got the interview, and who heard nothing

That is how we know which CVs get called.

Get the CV for this job

From $25 per CV, paid once. No subscription.

The numbers game

More applications. More interviews.

Every application goes out with its own CV, written for that posting and paid once. Send enough of them and the law of large numbers finds you the job.

Get the CV for this job
By hand5–10
With CV Rocket100
applications a day

Nearby

Live postings like this one

Same employer first, then the same role elsewhere.

Before you press

Straight answers

Get the CV for this job

From $25 per CV, paid once. No subscription.

What if my background isn't good enough?

We make the most of the background you have. The CV uses every piece of relevant proof your profile holds, and one of the 25 readers reads your whole profile and flags what the CV left out.

Do you really apply for me?

Yes, on the employer's own form, the hardest ones included. Where a question needs you, you answer it right there and AI suggests the best answer. Don't want us applying from our IP addresses? Use our Chrome extension: we apply straight from your own browser.

Is it a subscription?

No. You pay once per CV, from $25. Every application goes out with its own CV, written for that posting.

One job. One CV.
Paid once.

Pick the posting you want. We write for it, apply for you and catch the reply.

Get the CV for this job

From $25 per CV, paid once. No subscription.