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About the Role

This is a senior individual-contributor role focused on institutional account mandates and client-specific investment guidelines. You will interpret complex client and regulatory requirements, translate them into effective compliance controls, and support the operational framework for institutional investment compliance.

Responsibilities

Lead institutional guideline oversight
Interpret investment management agreements, investment policy statements, client guidelines and applicable regulatory requirements
Translate complex requirements into clear, practical and effective monitoring controls
Provide senior technical guidance on institutional investment compliance matters
Support account onboarding and mandate changes
Lead Investment Compliance participation in new account onboarding, mandate amendments, and transitions
Assess compliance and monitoring implications of new and changing client requirements
Coordinate the timely implementation of required controls
Design and maintain investment compliance rules
Design, develop, test, implement, and maintain complex institutional guideline rules in Bloomberg AIM Compliance
Apply established rule-development, testing, and independent-review standards
Monitor applicable rules, investigate alerts, and support ongoing rule and data integrity
Manage compliance exceptions and breaches
Independently assess and investigate institutional compliance exceptions
Determine appropriate corrective action within established parameters and coordinate remediation with business partners
Support timely and effective escalation and resolution of significant compliance issues
Provide client and business support
Work closely with Institutional Distribution on compliance requirements, monitoring matters, and breaches
Provide practical compliance advice to business partners on institutional investment compliance matters
Prepare customized and recurring compliance reporting to meet client, governance, and regulatory requirements
Support institutional client governance activities and recurring reporting
Partner across the organization
Work closely with Legal on the interpretation and implementation of institutional client agreements and guidelines
Partner with Investment Operations on Bloomberg rule testing and implementation
Collaborate with Investments, Institutional Distribution, Legal, Operations, Technology, Risk, and other Compliance teams to support institutional business priorities
Identify opportunities to enhance controls, processes, documentation and reporting
Support broader regulatory responsibilities
Support applicable regulatory compliance requirements, including regulatory analysis, implementation activities and stakeholder guidance
Serve as alternate FINRA supervisor when required
Develop procedures, guidance and training, and help build effective backup coverage and institutional investment compliance knowledge across the team

Requirements

Six or more years of asset management experience, including recent investment compliance experience supporting institutional accounts or client-specific investment guidelines
Advanced knowledge of institutional investment compliance, including the interpretation and monitoring of investment management agreements, investment policy statements, client restrictions and applicable regulatory requirements
Strong knowledge of Canadian securities regulation and investment compliance requirements
Familiarity with EMD requirements and cross-border regulatory considerations is an asset
Advanced experience with Bloomberg AIM Compliance (CMGR/VMGR), or an equivalent rule-coding and monitoring platform, including complex rule design, testing, implementation and ongoing maintenance
Demonstrated ability to translate complex client and regulatory requirements into practical controls, workflows, documentation, monitoring and reporting
Experience supporting institutional account onboarding, mandate amendments, guideline implementation, and customized client reporting
Strong judgment and the ability to work independently, make sound decisions within established parameters, and recognize when complex or higher-risk matters require escalation
Ability to serve as a senior subject-matter expert and build technical knowledge and backup capability across a team without formal people-management responsibility
Strong stakeholder-management skills and the ability to work effectively with Legal, Institutional Distribution, Investments, Operations, Technology, and senior business leaders
Exceptional written and verbal communication skills, with the ability to explain complex requirements clearly, deliver challenging messages constructively and provide practical, audience-appropriate advice
Strong planning and organizational skills, with the ability to manage competing priorities and deliver high-quality outcomes with minimal supervision
A commitment to continuous improvement and strengthening compliance controls, processes and stakeholder experience
CSC completed or willingness to complete within six months
CIM, CFA and relevant FINRA qualifications are assets
Proficiency in Microsoft Word, Excel and PowerPoint

Skills

Investment Compliance
Institutional Accounts
Client-Specific Investment Guidelines
Canadian Securities Regulation
Bloomberg AIM Compliance
Rule Design
Rule Testing
Rule Implementation
Rule Maintenance
Stakeholder Management
Written Communication
Verbal Communication
Planning
Organization
Microsoft Word
Microsoft Excel
Microsoft PowerPoint

Location

Hybrid

Work Type

Hybrid

Experience Level

Senior
Six or more years of asset management experience

Education Level

CSC completed or willingness to complete within six months
CIM, CFA and relevant FINRA qualifications are assets

Salary/Compensations

$107,500 - $122,000

Benefits

Annual short-term incentive
Health and well-being benefits
Retirement and savings plan
Paid time off
Career development

About the Company

Mackenzie Investments, founded in 1967, is a key part of IGM's business model, serving as a comprehensive asset-management partner for Canadian financial advisors and their clients.
At Mackenzie Investments, we believe being invested starts with our people.
We are proud to be recognized as one of Canada’s Top 100 Employers for the fourth consecutive year and one of Canada’s Best Diversity Employers.
Our vision and strategy aim to innovate the industry and support Canadians in achieving their financial goals.
Join our team to engage in continuous learning and skill development in a supportive environment.
Experience the best of both worlds with our hybrid work environment, where you spend three days a week in the office, connecting, collaborating, and enjoying quality time with your amazing colleagues!
Our Values: Be better; we strive for improvement in everything we do. Be accountable; we foster clarity and are empowered to act responsibly. Be a team; we are united to drive collective impact to achieve our goals.

Equal Opportunity

IGM is a diverse workplace committed to doing business inclusively - this starts with having a representative workforce! We encourage applications from all qualified candidates that represent the diversity present across Canada – including racialized persons, women, Indigenous persons, persons with disabilities, 2SLGBTQIA+ community, gender diverse and neurodiverse individuals, as well as all who may contribute to the further diversification of ideas.
Mackenzie Investments is an accessible employer committed to providing barrier-free recruitment experience. If you require accommodation or this information in an alternate format at any stage of the recruitment process, please reach out to the Talent Acquisition team who will work with you to meet your needs.