Mackenzie Investments

  • Manager, Compliance

    Job Location CA-ON-Toronto
    Posted Date 2 weeks ago(1/7/2019 11:15 AM)
    Reference Number
    # Positions
    Job Type
    Full Time
    Job Industry
    Financial Services and Banking
    Career Level
    Years of Experience
  • Job Description

    Mackenzie Investments was founded in 1967 and is a leading investment management firm providing investment advisory and related services to retail and institutional clients. The company has $60 billion in assets under management, and as part of IGM (a subsidiary of the Power Financial Group of Companies), is the largest independent asset manager in Canada, with $140 billion. We are committed to the financial success of investors, through their eyes.


    Our Vision

    Everything we do starts with the needs of investors, whether they are saving for a child’s postsecondary education, setting money aside for the future needs of a family member with a disability, or funding their own retirement. In fact, our focus is summed up in our Vision statement: We are committed to the financial success of investors, through their eyes.


    Our Values

    Our growth and success are the direct result of our employees, and we strive to create a workplace supported by the following core values: Creativity and Innovation, Strong Decision Making, Collaboration, Courage, Honesty and Integrity, Confidence and Pride.


    At Mackenzie Investments you can Build Your Career with Confidence by:

    Changing the Game:  We have a vision and a strategy that will challenge the way business in this industry is done and help Canadians be successful in the ways that mean the most to them.

    Making a Smarter World: We believe in continuous learning, understanding what is most important and sharing the benefits of that knowledge.

    Being Proud: As a part of our team you will do some of your best work, develop some of your most valuable skills and give back in ways that make a difference in the lives of Canadians.

    Joining an Unstoppable Team: We build teams that look out for each other, ask the best of each other and deliver the finest work.

    Learning and Growing: We offer an environment where you can indulge your curiosity to learn; getting the challenges and feedback you need to refine your skills and abilities.

    Thriving in a Supportive Environment:  We have created a workplace where your efforts and career are supported by your team and your leader.


    Mackenzie Investments is looking for a Manager, Compliance with a focus on investment compliance to join our team. We are looking for an experienced individual who has demonstrated leadership skills and can facilitate compliance activities to support Mackenzie’s global investment management teams. Reporting to the Director, Compliance, the individual will work with the compliance team to ensure that the compliance programs meet or exceed all applicable regulatory requirements and industry best practices with a focus on continuous improvement.



    • Collaborate with IGM Financial Inc. (Mackenzie, Investors Group, and Investment Planning Counsel) global stakeholders to harmonize and adopt best practices to investment policies and procedures.
    • Collaborate with Investment Management and Compliance team members to proactively identify areas of opportunity for improvement to investment compliance programs including to policies and procedures, monitoring, testing, reporting, and training. Lead implementation through to completion.
    • Work with sub-advisors to identify and resolve conflicts of interest, ensure investment compliance practices meet expectations, and conduct ongoing due diligence and assessment of risk.
    • Be a knowledge expert for the areas of compliance under scope and keep up to date with developments.
    • Provide ongoing and proactive guidance to business partners which may include addressing inquiries with no precedent requiring creativity and business judgement.
    • Manage responses to audits and assist in responses to regulators.
    • Assist the compliance team in completing team priorities/projects.
    • Act as a backup to other compliance team members and assist in other duties as assigned.


    • Minimum eight years of experience within the financial services industry with at least four years in an investment compliance capacity preferably at a fund/asset management company
    • Knowledge of investing and securities, including derivatives
    • Ability to navigate conflicts of interest and assess risk in the areas of trading compliance (e.g. best execution, cross trading, soft dollars, trade allocation, etc.) and conduct compliance (e.g. gifts and entertainment, personal trading, proxy voting, etc.)
    • Ability to communicate effectively to individuals at all levels within the organization, as well as external legal counsel, auditors, regulators, and industry counterparts
    • Ability to work independently to proactively bring projects to completion
    • Working knowledge of Part 2 of National Instrument 81-102, including derivative requirements
    • Knowledge of Bloomberg
    • Detail oriented
    • University degree

    Internal Applicants:

    If you are interested in applying for this position please direct applications on-line using the “apply for this job” icon located at the bottom or to the left of the posting. If you would like to refer someone for the position please email the posting using the “email this job” option and have your referral indicate that they were referred by you when completing the application. All resumes should be received by November 29, 2018.  If you have any questions regarding this position, please contact Human Resources. Please record your extension number on your resume and cover letter. The job grade for this position is 13. The referral bonus for this position is 3.


    External Applicants:

    We thank all applicants for their interest in Mackenzie Investments; however only those candidates selected for an interview will be contacted.


    Mackenzie Investments offers an exciting and challenging work environment, a competitive base salary, performance-based bonuses, excellent benefits, recognition for your accomplishments, and opportunities for personal and professional growth.


    Mackenzie Investments is an equal opportunity employer and is committed to providing employment accommodations in accordance with the Ontario Human Rights Code and the Accessibility of Ontarians with Disabilities Act. Please advise Human Resources if you require an accommodation.


    File #18-267


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