MBPS
Finance / FinServ
SeniorComplianceAnalyst
Neural analysis suggests this role is
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“Senior Compliance Analyst at MBPS. Skills: compliance reviews, sales, marketing, and distribution of communications conformity, internal policies, applicable regulatory requirements, independent judgment within established frameworks, guidance and support to Compliance Analysts. Independently review and manage moderately complex or higher‑risk sales, marketing, and other communications materials across institutional and retail distribution channels.. Perform end‑to‑end ownership of assigned revi”
Industry & Context.
analytical and problem-solving skills, including the application of sound judgment.
What They're Looking For.
Must Have
1–3 years of experience in the investment management or asset management industry, College/University Degree and/or equivalent experience in Business or Finance, or related fields
Nice to Have
Good knowledge and understanding of regulatory, legal, and industry issues impacting the assets and wealth management business, Demonstrated ability to work independently in a fast paced, deadline-driven environment with minimal supervision, Excellent interpersonal skills, with the ability to communicate effectively and professionally with all levels of staff and stakeholders, Excellent verbal and written communication skills, organizational, prioritization, and time management skills, with the ability to manage competing priorities simultaneously, Detail oriented and a quick learner, with demonstrated ability to deliver high-quality work within tight deadlines, analytical and problem-solving skills, including the application of sound judgment, Professional knowledge of the financial services industry, including insurance, banking, and asset management, Proficiency in MS Office applications, including MS Word, Excel, and PowerPoint, Flexible and adaptable in a changing environment, with cultural awareness, Ability to work independently and under pressure while maintaining consistency and quality, Working knowledge of distribution models and marketing compliance rules (US, Canada, EMEA) is an asset, Prior knowledge of (US/CAEA) marketing compliance rules and regulations is a plus
What You'll Do.
Independently review and manage moderately complex or higher‑risk sales
and other communications materials across institutional and retail distribution channels.
Perform end‑to‑end ownership of assigned reviews
from intake through resolution.
Carry out essential compliance monitoring activities
including social media monitoring
and periodic assurance activities.
Apply independent judgment within established policies and escalate novel
or disputed matters as appropriate.
Provide day-to-day guidance and informal coaching to Compliance Analysts on review approaches and standards.
Support the implementation and maintenance of review standards
or process gaps and communicate observations to the Specialist or manager.
Collaborate on compliance team projects
including process enhancements
and technology enablement initiatives.
Maintain working relationships with stakeholders through clear communication and issue resolution.
How You'll Work.
Team & Collaboration
Provide day-to-day guidance and informal coaching to Compliance Analysts on review approaches and standards.; Collaborate on compliance team projects, including process enhancements, data analysis, and technology enablement initiatives.; Maintain working relationships with stakeholders through clear communication and issue resolution.
Communication Scope
Excellent interpersonal skills, with the ability to communicate effectively and professionally with all levels of staff and stakeholders.; Excellent verbal and written communication skills.; Maintain working relationships with stakeholders through clear communication and issue resolution.
Process & Methodology
Perform end‑to‑end ownership of assigned reviews, from intake through resolution., Support the implementation and maintenance of review standards, controls, and documentation., Identify trends, recurring issues, or process gaps and communicate observations to the Specialist or manager., Collaborate on compliance team projects, including process enhancements, data analysis, and technology enablement initiatives.
Full Job Description
_We’re looking for a******Senior Compliance Analyst** to join our Central Compliance team at MBPS. In this role, you are responsible for performing more complex and judgment‑based compliance reviews to ensure sales, marketing, and distribution of communications conform to internal policies and applicable regulatory requirements. The role applies independent judgment within established frameworks and provides guidance and support to Compliance Analysts to ensure quality, consistency, and timely delivery._ **Position Responsibilities:** * Independently review and manage moderately complex or higher‑risk sales, marketing, and other communications materials across institutional and retail distribution channels. * Perform end‑to‑end ownership of assigned reviews, from intake through resolution. * Carry out essential compliance monitoring activities, including social media monitoring, web sweeps, inventory audits, and periodic assurance activities. * Apply independent judgment within established policies and escalate novel, ambiguous, or disputed matters as appropriate. * Provide day-to-day guidance and informal coaching to Compliance Analysts on review approaches and standards. * Support the implementation and maintenance of review standards, controls, and documentation. * Identify trends, recurring issues, or process gaps and communicate observations to the Specialist or manager. * Collaborate on compliance team projects, including process enhancements, data analysis, and technology enablement initiatives. * Maintain strong working relationships with stakeholders through clear communication and issue resolution. **Required Qualifications:** * 1–3 years of experience in the investment management or asset management industry. * Working knowledge of distribution models and marketing compliance rules (US, Canada, EMEA) is an asset. * Prior knowledge of (US/CA/EMEA) marketing compliance rules and regulations is a plus. * College/University Degree and/or equivalent experience
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