Job Description
Job Title:
Sales Compliance Analyst
Location & Schedule
Toronto (483 Bay Street) until late 2026, then Mississauga (3 Robert Speck Parkway). Flexible hybrid schedule. Current work authorization for Canada is required for all openings.
Responsibilities
- Provide ongoing compliance advisory support related to Sales Practices and BEWG policies and procedures.
- Respond accurately and timely to inquiries from advisor, institutional sales, and emerging channel teams via phone and email, including escalation inbox support.
- Review and approve co‑operative marketing initiatives, conferences, charity, and sponsorship requests in line with regulatory and internal requirements.
- Conduct, document, and report compliance monitoring activities, escalating issues and recommending effective remediation where required.
- Proactively identify risks, gaps, and opportunities for improvement in business activities and monitori...