Manager Sales Marketing Compliance
PICTON Investments
Drive sales, marketing, and distribution compliance at PICTON Investments while supporting AML, KYC, and KYP programs within the Compliance team.As Manager, Compliance, you will report to the Senior Director, Compliance, providing practical guidance across Sales, Marketing, Product, Operations, and Technology. Your work will cover client-facing materials, compliance vendors, regulatory changes, and financial crime compliance. You will also support onboarding, due diligence, and product reviews.Key Responsibilities:
Guide sales, marketing, and distribution compliance activitiesReview presentations, campaigns, digital content, and social mediaCoordinate compliance vendors and resolve ongoing issuesSupport AML monitoring, escalations, and documentationAdvise stakeholders on regulatory changes and impactsRequirements:
Post-secondary education in business, finance, commerce, law, or related fieldFive-plus years of compliance experience in financial servicesKnowledge of Canadian securities regulationExperience reviewing client-facing sales and marketing materialsPractical AML, KYC, KYP, suitability, and due-diligence knowledgeBring analytical judgment, regulatory expertise, and clear communication to strengthen PICTON Investments’ compliance program.
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Guide sales, marketing, and distribution compliance activitiesReview presentations, campaigns, digital content, and social mediaCoordinate compliance vendors and resolve ongoing issuesSupport AML monitoring, escalations, and documentationAdvise stakeholders on regulatory changes and impactsRequirements:
Post-secondary education in business, finance, commerce, law, or related fieldFive-plus years of compliance experience in financial servicesKnowledge of Canadian securities regulationExperience reviewing client-facing sales and marketing materialsPractical AML, KYC, KYP, suitability, and due-diligence knowledgeBring analytical judgment, regulatory expertise, and clear communication to strengthen PICTON Investments’ compliance program.
#J-18808-Ljbffr
Vacancy posted 1 hour ago
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