Job Description

We are seeking a Compliance Officer with strong business acumen and objectivity to join our dynamic team and be a part of one of Canadas fastest growing exchange traded fund (ETF) providers.Hamilton ETFs offers:

• A competitive compensation package including comprehensive health benefits;
• Flexible work hours;
• We value collaboration, open-mindedness, and service focused mindsets;
• Diverse and inspiring colleagues and approachable leaders;
• Opportunity to evolve in a growing firm.

Heres a bit about Hamilton ETFs:
Hamilton ETFs is one of Canadas fastest growing exchange traded fund (ETF) providers. Based in Torontos financial district and with ~$4.6 billion in ETF assets under management, we are seeking a motivated individual to join our entrepreneurial team of experienced and talented professionals.Heres what you will do as Compliance Officer:
The Compliance Officer is an integral member of our compliance team. As Compliance Officer, you will work closely with, and report directly to, the Chief Compliance Officer (CCO) and assist in meeting Hamilton ETFs ongoing regulatory, corporate and fiduciary obligations. More specifically, you will:

• Oversee various compliance functions detailed in Hamilton ETFs Compliance Manual and the ongoing review and maintenance with rule changes and guidance from various regulatory bodies;
• Conduct reviews of portfolio trades ensuring approvals and compliance with regulations and constating documents;
• Work closely with marketing and sales teams to educate, develop and evolve standard compliance guidelines and protocols for marketing collateral and sales communications;
• Support compliance audits and review of departmental materials and communications
• Prepare reports on various investment management functions such as broker selection, trade allocation, proxy reporting etc.;
• Work closely with the CCO in meetings and communications with the Independent Review Committee (IRC), in addressing potential conflict of interest matters as they may arise;
• Monitor and report on existing conflict of interest matters (if any) addressed through standing instructions with the IRC;
• Oversee the implementation and monitoring of various compliance policies (i.e. Anti-Money Laundering and Proceeds of Crime , Social media, Cooperative Sales and Marketing, Protection of Personal Information, etc. Develop educational materials for internal use;
• Assist in the review of prospectuses, information forms, press releases, reports of fund performance, financial statements, etc. and registration of employees in various registration categories;
• Support senior leaders with various initiatives including review and maintenance of HR policies and manuals, regulatory documents and continuous disclosure materials;
• Act as a regulatory resource and contact for all departments on all regulatory compliance issues and liaise with external resources where necessary for participation in written as well as oral proceedings;
• Research and report on various industry matters with impact analysis for our firm;
• Provide strategic input with regards to any potential compliance and/or regulatory barriers, which may arise as a result of a potential course of action by our firm
• Participate in special projects as assigned for the overall benefit of Hamilton ETFs.

Heres what youll need to be successful:

• Post-secondary education;
• Minimum 2 years experience in a compliance environment for an ETF or mutual fund issuer;
• Working knowledge of related regulatory instruments and rules, particularly National Instrument (NI) 81-102, 81-106, and 81-107;
• Broad understanding of the portfolio management process and its inherent risk components;
• Excellent written and verbal communication skills, in English and French (preferred);
• Exceptional organizational skills with impeccable attention to detail and accuracy;
• Team-oriented mindset, with an interest and aptitude to add value outside of core responsibilities;
• Ability to maintain a high level of integrity and discretion in handling confidential information;
• Sound judgement to identify, respond and resolve any regulatory or compliance matters;
• Ability to manage numerous tasks and projects simultaneously and manage deadlines;
• Proficiency with Microsoft Office, particularly Excel and Word;
• Recommendations for excellent movies and TV shows are welcome.

Assets:

• Working knowledge of NI 81-101, 81-104, and 81-105 would also be useful, but not initially required;
• Professional designation in finance (i.e., CFA);
• Familiarity with the operations of an ETF business;
• Completion of Partners, Directors and Senior Officers Course with Canadian Securities Institute;
• Bilingual in French a strong asset.

Interested in being a part of Hamilton ETFs? We look forward to your application!We believe diverse perspectives strengthen our ability to deliver on our mission, and that to achieve our vision of excellence requires an environment in which everyone feels welcomed and valued, including our team, and those we serve and with whom we work.Hamilton ETFs is committed to meeting the accessibility needs of all applicants throughout the recruiting and selection process. Please let us know about any accommodation and/or support requirements. Please note only those candidates selected for an interview will be contacted.Please note we are only accepting applications from those authorized to work in Canada and we are not currently sponsoring any temporary or permanent work visas.Powered by JazzHRPI2892bb9297f4-8722-34380996

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