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Compliance Officer – Responsable, conformitéBJRC Recruiting • Montreal, Montreal (administrative region), CA
Compliance Officer – Responsable, conformité

Compliance Officer – Responsable, conformité

BJRC Recruiting • Montreal, Montreal (administrative region), CA
30+ days ago
Job type
  • Full-time
Job description

REF #1495

Our Client

Is an independent asset management firm headquartered in Montreal, specializing in traditional and alternative investment strategies.

Responsibilities

  • Support the day-to-day administration of the compliance function
  • Assist with daily, monthly, quarterly, and annual compliance monitoring, testing, and documentation
  • Support client onboarding and review subscription agreements and KYC documentation
  • Maintain client documentation including KYC forms, investment management agreements, and related records
  • Assist with initial and ongoing due diligence of third‑party service providers
  • Maintain and update compliance policies, procedures, and manuals
  • Maintain compliance logs (personal trading, outside business activities, conflicts of interest, etc.)
  • Support registration obligations and ongoing regulatory reporting
  • Participate in internal audits and external regulatory examinations
  • Contribute to compliance training initiatives and promote a strong culture of compliance
  • Collaborate with portfolio management, operations, and finance teams to support compliance activities
  • Assist with Business Continuity Plan (BCP) planning and testing
  • Support special projects as assigned

Qualifications

  • Bachelor’s degree in Finance, Business, Law, or a related field
  • 3–5 years of compliance experience within an Investment Fund Manager (IFM), Portfolio Manager (PM), and/or Exempt Market Dealer (EMD)
  • Exposure to regulatory examinations and audits
  • Strong analytical, organizational, and communication skills
  • Ability to work effectively in a lean, collaborative environment
  • Ability to manage multiple priorities and meet deadlines
  • Canadian Securities Course (CSC) and/or Conduct and Practices Handbook (CPH) considered an asset
  • Based in Montreal

Seniority level

  • Associate

Employment type

  • Full-time

Job function

  • Legal
  • Industries: Staffing and Recruiting and Legal Services
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Compliance Officer – Responsable, conformité • Montreal, Montreal (administrative region), CA

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