Managed Account Supervisor

Managed Account Supervisor

Are you eager to contribute to the purpose of a company that aims to help its clients feel confident and secure about their future? As a Managed Account Supervisor, you will play a key role in establishing and nurturing working relationships with Portfolio Managers, ensuring strict adherence to regulatory and firm compliance. This position is a great opportunity to showcase your skills and fully realize your potential within a caring and trustworthy company. Here, people and their development are at the heart of our priorities, fostering an environment that encourages collaboration and innovation.

What you’ll accomplish with us

• Conduct comprehensive quarterly portfolio reviews for managed accounts (including Unified Managed Accounts) to ensure adherence to regulatory and firm compliance standards
• Review and approve New Client Account Forms (NCAFs), KYC updates, and Investment Policy Statements (IPS) to assess the suitability of proposed investment strategies
• Perform quarterly pooled fund trade reviews to support ongoing suitability and compliance oversight
• Participate in the review, interpretation, and resolution of compliance-related matters
• Provide ongoing guidance to Portfolio Managers and other business units on compliance requirements and expectations
• Provide training and onboarding support to Portfolio Managers on managed platforms and best practices; foster strong working relationships with Portfolio Managers and their teams to support effective communication and collaboration
• Address and de-escalate issues raised by business partners by identifying practical solutions that balance business needs with regulatory requirements
• Promote a culture of compliance by working collaboratively with internal teams to enhance awareness and understanding of compliance standards
• Identify opportunities to enhance efficiency and effectiveness of the firm’s compliance and supervision systems
• Stay current on regulatory developments and maintain a strong understanding of internal policies and procedures as well as within the industry

What could accelerate your success in this role

• 5 years or more relevant investment industry experience with a CIRO member firm or an ICPM acceptable to the Corporation, preferably within a compliance related role
• CIRO Registration as a Supervisor
• Canadian Investment Regulatory Exam ("CIRE"), Retail Securities Exam, and Supervisor Exam and minimum two years of relevant experience acceptable to the Corporation
• OR have been licensed within the last 3 years on the Investment Dealer side with CIRO, with required CSI courses in good standing (Canadian Securities Course, Conducts & Practices Handbook, etc)
• Options licensed or CIRO Derivatives exam is a strong asset
• CIM Designation and/or CFA Charter
• Strong knowledge of CIRO and CSA rules
• Strong analytical and critical thinking skills
• Self-motivated and proactive, with the ability to effectively manage competing priorities in a dynamic environment
• Highly organized with strong attention to detail and the ability to prioritize and manage multiple tasks in a high-volume, fast-paced setting
• Excellent written and verbal communication skills, with the ability to engage effectively with both Portfolio Managers and Head Office employees
• Demonstrates sound judgment and a high degree of discretion in handling confidential information
• Proficient in Microsoft Office Suite (Outlook, Word, Excel, PowerPoint, OneNote)
• Bilingual in English and French is strongly preferred

Why you’ll love working with us

• A work environment where learning and development merge with a collective pursuit of excellence;
• A healthy, safe, fair, and inclusive environment where potential can be freely expressed and developed;
• The opportunity to work in a hybrid environment, supported by flexibility and access to inspiring and innovative workspaces;
• Competitive benefits: Flexible group insurance, competitive pension plan, stock purchase plan, vacation and wellness/personal development days, telemedicine, employee and family assistance program, ergonomic furniture program, performance bonus, discounts on iA products, and much more!

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