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Compliance Specialist

Location: Toronto, Ontario, Canada

Secondary Locations: Winnipeg,Manitoba,Canada;Montreal,Quebec,Canada;

Company: Mercer

Job ID R_050962-en

The Compliance Specialist handles complex specialized compliance routines, such as licensing, monitoring, research, training and awareness, data compilation and synthesis, report drafting, performance monitoring or assessment and task management for assigned area, country or geography. Makes recommendations based on review and escalates issues as appropriate. Support formulation of responses which may include responses to regulators and other supervisory entities. 

Assists the Canada Compliance Leader in performing compliance team tasks in order to administer the compliance programs of the regulated investment businesses of Mercer and its affiliates in Canada.  Assist the North America Chief Compliance Officer for Investments and the Canada Compliance Leader in performing compliance team tasks in order to administer the compliance program of Mercer's investment businesses in Canada, including:

  • Monitor portfolio guideline compliance and collaborate with other teams to resolve issues;
  • Administer compliance questionnaires;
  • Assist in performing subadviser due diligence;
  • Prepare board reports and regulatory filings;
  • Monitor compliance with investment management policies and procedures;
  • Monitor compliance with personal investing and other conduct policies; and
  • Complete other compliance assignments as required.


  • Bachelor of Arts
  • 3 – 5 years of relevant compliance experience at a registered investment advisor
  • Experience with High Net Worth wealth management business preferred
  • Willingness to travel among 3 primary offices (Toronto, Montreal & Winnipeg)
  • Completion of Canadian Securities Course required
  • Completion of Conduct and Practices Handbook Course preferred
  • Knowledge of securities regulations applicable to dealing representatives and advisors, portfolio managers and investment fund managers
  • Familiarity with the rules and regulations applicable to the exempt market dealer in Canada
  • Knowledge of KYC and client identification requirements and best practices for individual investor accounts
  • Working knowledge of applicable Canadian privacy law and anti-money laundering rules and regulations
  • Experience with registration of colleagues and firms via the NRD

At Mercer, we make a difference in the lives of more than 110 million people every day by advancing their health, wealth, and careers. We’re in the business of creating more secure and rewarding futures for our clients and their employees — whether we’re designing affordable health plans, assuring income for retirement or aligning workers with workforce needs. Using analysis and insights as catalysts for change, we anticipate and understand the individual impact of business decisions, now and in the future. We see people’s current and future needs through a lens of innovation, and our holistic view, specialized expertise, and deep analytical rigor underpin each and every idea and solution we offer. For more than 70 years, we’ve turned our insights into actions, enabling people around the globe to live, work, and retire well. We embrace a culture that celebrates and promotes the many backgrounds, heritages and perspectives of our colleagues and clients. At Mercer, we say we Make Tomorrow, Today. Visit for more information and follow us on LinkedIn and Twitter @Mercer

Mercer LLC and its separately incorporated operating entities around the world are part of Marsh & McLennan Companies, a publicly held company (ticker symbol: MMC).

Marsh & McLennan Companies and its Affiliates are EOE Minority/Female/Disability/Vet/Sexual Orientation/Gender Identity employers.

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