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canada Marketing Approvals Consultant

  • Location
    (CANADA) and Toronto
  • Job Reference
    12562
  • Functional Area/Experience
    Marketing, advertising and PR / 2 Years

Job Description & Qualifications

Founded in 1995, Assante Wealth Management is one of Canada’s largest firms providing wealth management solutions. Our 830 professional advisors, located in communities throughout the country, have approximately $43 billion of Canadian's family wealth under their care.

We are currently seeking a Marketing Approvals Consultant to join our Assante Compliance team. In this role, the successful candidate’s main focus is the supervision of advisor advertising, sales literature, and correspondence. This involves working directly with advisors to support them with their marketing initiatives to ensure that securities regulatory requirements and internal policies & procedures are adhered to and maintained.

  • Review and coordinate the approval of all client and public oriented advisor sales communications including, but not limited to, advertisements, stationery, signage, newsletters, client letters, brochures, presentations, events, websites, social media and other digital advertising.
  • Maintain an exemplary service commitment to Assante advisors by educating and supporting them and their staff on regulatory and internal policies & procedures, and ensure that their initiatives are consistent with Assante business and brand standards.
  • Conduct compliance review in a high-quality, risk-based manner.
  • Ensure that advisors implement required revisions and that approval is secured prior to print or electronic dissemination.
  • Act independently, conduct relevant research and arrive at conclusions and/or recommendations based on the exercise of good judgement on moderately complex issues.
  • Proactively identify, investigate, resolve and/or escalate any actual and potential violations of regulatory requirements and internal policies & procedures as they concern creating risk for the advisors, Assante dealers, and the integrity of the Assante brand.
  • Strive to minimize compliance risk, reputational damage, client complaints, civil litigation, and other risk situations.
  • Liaise with internal departments for business, design and branding review in a professional and collaborative manner.
  • Communicate with advisors in a timely and professional manner, and effectively provide direction and recommendations on the appropriate corrective action.
  • Liaise with mutual fund companies to ensure that co-operative marketing submissions follow regulatory guidelines and that reimbursements are made in a timely manner.
  • Works closely with other Compliance Officers and Management to secure approvals.
  • Coordinate the tracking and distribution of incoming requests.
  • Maintain accurate internal files and complete records for review and reference in a regulatory and internal audit setting.
  • Critically review processes and make recommendations to improve the department’s efficiency and ability to better service Assante advisors.
  • Maintain a high level of awareness of compliance related changes and developments in the securities industry through the review of publications, participation in industry associations, employee development initiatives, etc. 
  • Complete other duties and projects as assigned from time to time including, but not limited to, acting as back-up to colleagues. 

What you will bring:

  • 2 or more years working at a securities dealer, mutual fund dealer or a financial industry related firm, preferably in a similar role.
  • University degree or college diploma in a relevant subject area or equivalent work experience.
  • CSC, CPH, and Branch Manager Course are an asset, or willingness to complete these courses.

What you can expect from us:

Our dedication to the Employee Experience at CI is aimed at supporting, empowering and inspiring our talented team through: 

  • Recognition & Compensation 
  • Training & Development 
  • Health & Well-being 
  • Communication & Feedback 


Job Skills/Competencies Required

  • Excellent written and verbal business communication skills.
  • Capable of simultaneously handling multiple tasks and meeting stringent deadlines in a fast paced and high-volume environment.
  • Superior planning, organizational and time-management skills. 
  • Strong analytical skills and a keen eye for detail.
  • Exceptional customer service skills and ability to build strong rapport with financial advisors and internal corporate staff.
  • Ability to work independently with minimal supervision.
  • Proficiency in Microsoft Office (Word, PowerPoint, Excel).
  • Good knowledge of other software applications (Adobe Acrobat, Nitro Pro), the internet and social media.
  • Solid understanding of the financial advisory business.
  • Knowledge, understanding, and the practical application of relevant provincial securities and SRO (MFDA, IIROC, AMF, Exchanges) rules and regulations and other applicable regulatory requirements.
  • Ability to interpret and apply business, compliance and regulatory guidelines.
  • Ability to recognize and handle sensitive and confidential information 
  • Self-motivated, confident and capable of working both independently and in a team environment with a commitment to continuous improvement.
  • Bilingualism in French and English is an asset.

If you are a passionate, committed and dynamic individual, please submit your resume

Apply now