Compliance Officer Full Time ( f/m) H/F M/F

Job Title: Compliance Specialist or Senior Compliance Specialist KAI Asset Management, a portfolio management firm based in downtown Winnipeg, is seeking a Compliance Specialist or Senior Compliance Specialist to join our growing and collaborative team.
This position supports the day-to-day administration and ongoing effectiveness of the firm’s compliance program, including compliance monitoring and testing, KYC and suitability reviews, regulatory filings, recordkeeping, training, and regulatory examinations. The role also contributes to the continuous improvement of compliance policies, controls, and processes while supporting the firm in meeting its regulatory obligations and maintaining strong compliance practices.
This opportunity is well suited to a candidate who is looking to develop their compliance expertise and grow into a more senior role in the short term.
Administer and support the day-to-day operation of the firm's compliance program.
Review KYC information and Investment Policy Statements (IPS) to support compliance with suitability requirements, regulatory obligations, and firm policies.
Conduct compliance monitoring activities, including AML monitoring, employee personal trading, trade monitoring, communications reviews, and other regulatory compliance activities.
Perform compliance testing and maintain compliance records, registers, and documentation in accordance with regulatory requirements and firm policies.
Coordinate and support regulatory filings, examinations, audits, and information requests.
Assist with the implementation and continuous improvement of compliance policies, procedures, and internal controls.
Coordinate and deliver employee compliance training and develop compliance resources and educational materials.
Lead or participate in compliance projects and process improvement initiatives.
Participate in industry committees, conferences, webinars, and professional development activities to remain current on regulatory developments and industry best practices.
Prepare compliance reports, analyses, and other documentation.
Perform other compliance-related duties as assigned.
A minimum of 5 years of relevant compliance experience within the portfolio management, investment management, wealth management, or broader financial services industry.
Working knowledge of Canadian securities legislation, AML/KYC requirements, and industry compliance practices.
Experience with compliance monitoring activities, including employee personal trading, trade monitoring, AML monitoring, and regulatory reporting.
Proficiency with Microsoft Office applications, including Excel, Word, Outlook, and PowerPoint. Advanced proficiency in Microsoft Excel is an asset.
CSC, CPH, CIM, or similar) is considered an asset.
Experience using compliance management, portfolio management, CRM, or document management systems is considered an asset.
This is a full-time, in-office position from Monday to Friday.