Sales Compliance Analyst

TL;DR

Sales Compliance Analyst (Financial Services): Provide day-to-day compliance oversight, monitoring, and advisory services for Sales Practices and Business Entertainment and Workplace Gifts policies with an accent on regulatory compliance and risk management. Focus on reviewing requests, conducting monitoring activities, escalating issues, and contributing to training and projects.

Location: Flexible hybrid schedule at 483 Bay Street, Toronto until late 2026, then new Mississauga office at 3 Robert Speck Parkway. Current work authorization for Canada is required for all openings.

Salary: $68,000–$85,000 + discretionary performance bonus

Company

Privately owned investment firm helping Canadian investors with portfolios and services for over 35 years, embracing innovation and growth.

What you will do

• Provide ongoing compliance advisory support on Sales Practices and BEWG policies
• Respond to inquiries from sales teams via phone, email, and escalation inbox
• Review and approve co-operative marketing, conferences, charity, and sponsorship requests
• Conduct, document, and report compliance monitoring, escalating issues and recommending remediation
• Identify risks, gaps, and improvements in business activities and monitoring programs
• Track compliance issues and action plans to remediation
• Contribute to cross-functional projects and enhance training materials
• Support delivery of in-person and virtual training for new sales staff

Requirements

• Minimum 2+ years financial services experience, preferably at mutual fund manager or dealer
• Strong knowledge of National Instrument 81-105 and sales practices compliance
• Excellent written, verbal, and interpersonal communication skills
• Ability to work independently, manage priorities, and meet deadlines
• Strong time management and attention to detail
• Proficiency in Microsoft Word, Excel, and PowerPoint
• Post-secondary education (minimum three-year program) or equivalent
• Current work authorization for Canada required

Nice to have

• Canadian Securities Course (CSC) or Canadian Investment Funds Course (CIFC)

Culture & Benefits

• Flexible working arrangements including 100% remote, hybrid, and in-office options
• Competitive total compensation with base salary, performance bonus, and RRSP contributions after 6 months
• Comprehensive health benefits starting day one, 100% employer-paid premiums, up to $6000 annually for mental health
• Parental leave top-up to 100% salary for 25 weeks
• Up to $650 home office equipment, generous time off, 2 paid volunteer days annually
• Diversity programs, Employee Resource Groups, extensive professional development with 11,000+ courses and tuition reimbursement