Bilingual Compliance Officer

Job Description:

• Review and approve account opening and updates to KYC information
• Monitor and supervision trading activity through Latent Zero Sentinel compliance system
• Prepare compliance reports for funds and clients
• Assist in the oversight of the firm’s policies, processes, and procedures as they relate to securities regulations, AML, and FATCA/CRS.
• Ensure the firm complies with client’s investment policy statements by reviewing and escalating daily alerts generated from the compliance monitoring system
• Develop and enhance processes for the firm’s automated compliance monitoring system, including rules maintenance, implementation, and updates.
• Assist in the preparation and filing of regulatory reporting
• Develop written procedures and implement preventative internal controls
• Support the development of the firm’s business and perform other duties or special projects as assigned

Why Join Us:

• Ownership potential: As an employee-owned firm, we offer the opportunity for team members to become equity partners and share in the firm’s long-term success.
• Leaning & value-add: Exposure to a broad range of compliance responsibilities and close collaboration with senior leadership.
• Professional growth: Support for professional development and industry certifications, including financial assistance and study flexibility.
• Collaborative culture: A supportive, entrepreneurial environment where your voice is heard, and your contributions make a measurable difference.

Job Qualifications:

• Bachelor’s degree in Finance, Business, Law, or a related field
• 2 to 5 years of compliance-related experience within a registered portfolio manager, investment management, or securities firm
• Good understanding of the Canadian securities’ regulatory environment
• Enrolment in or completion of relevant courses such as the Canadian Securities Course (CSC), Conduct & Practices Handbook (CPH), or progress toward compliance-related designations
• Enrollment in the CFA program is an asset
• Proven experience with various compliance programs including AML, investment funds, FATCA/CRS
• Experience with NRD (National Registration Database), & order management and compliance systems (with a focus on the compliance rule writing)
• Proficiency in Excel, Word, PowerPoint, and Outlook
• Familiarity with Bloomberg, Advent, and Salesforce software preferred

Attributes for Success:

• Client-first mindset and ability to communicate with professionalism in both languages
• High attention to detail and strong organizational skills
• High degree of professional ethics and integrity
• A keen eye for detail
• Thrives in a team environment, and effectively contributes to the team
• Highly proficient at managing multiple tasks and changing priorities