Financial Advisor/Compliance Analyst

Opportunity

Located in downtown Toronto, Canoe Financial is one of the fastest growing independent mutual fund companies in Canada. Frontier Capital Funds Inc., a subsidiary of Canoe Financial, is a member of the Canadian Investment Regulatory Organization ((previously the Mutual Fund Dealers Association). Frontier Capital is an established and growing mutual fund dealership with unlimited potential for growth.

Frontier Capital and Canoe Financial are seeking an enthusiastic individual to join the firms’ Legal & Compliance Team in its Toronto office. This is a unique opportunity for the individual who is passionate about the investment industry, has an entrepreneurial mindset, and good business judgement. This individual will be a registered as a Mutual Fund Sales Representative with Frontier Capital to help everyday Canadians by providing exceptional client relationship services and sound financial advice. This individual will also provide compliance support for all aspects of Canoe Financial’s business, including portfolio management, investment funds compliance, and marketing.

This role requires an individual who is motivated and ready to help support and expand the businesses. They must have the tenacity to roll with the punches and be able and willing to grow and adapt as the businesses require seizing opportunities as they arise.

There may be some travel required for this role both within the Greater Toronto Area and potentially across Canada. There may be some evening and weekend activities required.

Key Accountabilities

• Developing and maintaining personalized business relationships with current and potential clients.
• Responding to and satisfying daily client queries, transactions, and other requests.
• Carrying out client meetings and presentations in a thoughtful and prepared manner.
• Staying well informed and knowledgeable with all products and solutions the business is able to offer clients.
• Ongoing auditing and reporting on the organization’s compliance.
• Proactively research to stay up to date with regulations and rules.
• Implement and documenting internal policies and procedures.
• Assisting the Legal & Compliance Team with a variety of day-to-day matters.
• Adhere to all existing and future regulatory guidelines, policies, practices and standards at all times and without exception.
• Maintain the highest degree of integrity and ensure sound and prudent risk management.

Requirements

• Intelligent, with practical business common sense.
• Registrable with CIRO as an Approved Person.
• Must be enrolled in/have passed the Canadian Investment Funds Course Exam, the Canadian Securities Course Exam, or the Investment Funds in Canada Course Exam.
• Certified Financial Planner or Personal Financial Planner designation as asset but not required.
• Knowledge of and previous experience relating to CIRO (MFDA/IIROC), the investment funds industry, security registrant regulation, or securities compliance.
• Excellent written and verbal skills.
• Bilingual an asset but not required.

About Us

Frontier Capital Funds Inc.

Frontier Capital is an established mutual fund dealer which offers direct access to an extensive line-up of award winning investment solutions across various asset classes managed by experienced investment professionals.

Canoe Financial

Founded in 2008, Canoe Financial LP established operations with the acquisition of management of the publicly traded $2.2 billion Canoe EIT Income Fund. Canoe now manages over $15 billion in assets across a diversified range of open end mutual funds, and private energy equity products.

Canoe has expanded from its Calgary head office to across Canada, including a significant presence in Toronto and offices in Vancouver, Winnipeg, Ottawa and Montreal. Since launching its first mutual funds in February 2011, Canoe has grown its mutual fund assets to $13 billion, making it one of the fastest growing entities in the Canadian mutual fund industry.

We are a focused employee-owned, independent investment management firm, providing intimate access to our mutual fund managers. Canoe’s portfolio managers are proven performers in the most widely held mutual fund categories. Our portfolio management team is supported by a top customer service and sales group dedicated to ensuring that our clients receive the consistent, clear and meaningful counsel they need to make informed investment decisions.

No inquiries or agencies please.

We thank all applicants for their interest, please be advised that only short-listed candidates will be contacted.

Job Type: Full-time

Salary: From $50,000.00 per year

Benefits:

• Company events
• Company pension
• Dental care
• Disability insurance
• Employee assistance program
• Extended health care
• Life insurance
• On-site parking
• Paid time off
• RRSP match
• Vision care

Schedule:

• Monday to Friday

Experience:

• Financial Advisory: 2 years (preferred)

Work Location: In person

Application deadline: 2023-10-31