Job Board

Junior Compliance Officer

Horizons Exchange Traded Funds
Toronto, ON
Posting Closing Date:
December 17, 2020
Employment Type:
Contract Type:
Job Description:

Due to our rapid growth in the Canadian and Global ETF Market we are looking for a Junior Compliance Officer to work with and support our compliance team. This is an opportunity to join Canada's most innovative ETF provider.  The successful candidate will be focused on a variety of aspects of compliance oversight to be administered in a pleasant, courteous, knowledgeable and professional manner.

The Junior Compliance Officer will play a critical role in monitoring the activities of several departments and nurturing relationships with those departments with a focus on maintaining adherence to compliance policies and procedures and upholding and contributing to the company's culture of compliance. The ideal candidate must be well spoken, very organized, have excellent time management and communication skills and display a positive attitude.

Job Responsibilities:
  • Assist in the oversight of multiple aspects of the investment operations team activities
  • Assist in the oversight of multiple aspects of the fund operations team activities
  • Assist in the oversight of the sales and marketing collateral development and implementation.
  • Provide support to the compliance team in various administrative capacities, day-to-day operations, as well as all various regulatory inquiries
  • Provide support in the ongoing maintenance and updating of policies and procedures
  • Maintain internal control logs and other compliance recordkeeping requirements.
  • Develop and maintain on-the-job skills by regularly updating knowledge about new products and operational initiatives in order to represent the compliance department accurately and efficiently
  • Other projects or responsibilities as assigned
  • Excellent English written and verbal skills
  • Proficiency with Excel, Word, Outlook, Adobe Acrobat and Power Point
  • Observant and detail oriented
  • Proven compliance support experience or experience within the financial industry
  • Strong auditing skills and active listening
  • The desire to work within an effective team to safeguard and build a successful business
  • Ability to prioritize, organize and manage time effectively
  • Good understanding of Compliance and the Canadian Financial Markets
  • Adherence to the highest ethical standards
  • Retail trading experience/knowledge is a benefit
  • Have obtained or pursuing CSC / compliance courses
  • 2+ years experience in the financial services industry
  • Knowledge or experience in cyber-security would be an asset
  • French and/or other languages a definite asset but not required
How to Apply:

Please send your resume and cover letter to