Executes First Line compliance monitoring, reporting and control execution.
Manages/supports large/complex compliance programs/frameworks /projects/initiatives to ensure compliance risks are appropriately identified, risk assessed, mitigated and regulations adhered to.
Supports the implementation of final laws, rules, and regulatory guidance within GAM Canada.
Supports business change by assessing the impact to regulatory compliance and associated monitoring.
Key Accountabilities:
Mandate Compliance:
Execute the Mandate Compliance function including automated pre and post trade alert/warning monitoring using the Charles River Order Management System.
Coding mandate compliance rules associated with new and/or updated fund/account information.