Compliance Manager

Job Description

Compliance Manager

We are looking for a key contributor to join our compliance team as a Compliance Manager based in our Montreal office.

Who we are :

We are one of Canada’s longest standing fee-only providers of integrated wealth management services to high-net-worth families.

Since 1979, our team of trusted professionals brings together, under one roof, tax, accounting and f inancial planning advice at the deepest level , investment management and estate planning with family governance services to help successful Canadian families build and preserve their legacies.

We are proud to have earned the rank of Trusted Advisor with our clients and to be a leader in the industry.

Who our clients are :

Our experience and technical knowledge make us best suited to service clients with multiple needs, holding $2M and more in liquid assets, as well as Family Office clients with assets ranging from $20M to $200M.

What we are looking for :

A key professional who will report directly to the CCO and will be responsible for the daily implementation of compliance policies and procedures, ensuring that all investment activities align with client investment policies and applicable legislation.

The ideal candidate will be adept at navigating the challenges posed by the constantly evolving laws, regulations and industry guidelines.

Responsibilities

• Review and update the Investment Management Department’s policies, procedures and communications and participate in the drafting of various reports, including quarterly reports
• Supervise the work of the Compliance Associate
• Prepare training material and deliver to the IM Team
• Help identify key performers and monitor them
• Perform various compliance and monitor functions related to portfolio management
• Audit work performed by the back-office IM team
• Conduct periodic audits of compliance system processes to ensure they are being followed
• Assist the IM Team in the interpretation and implementation of regulatory requirements
• Capture and analyze new Bills and new regulations to inform the parties concerned of upcoming changes, while supporting them in the implementation of these changes
• Analyze Investment Counsellors’ LinkedIn, Instagram and other social media to ensure compliance with our Social Media Policy.

Competencies

• Strong organizational skills, autonomous and detailed oriented
• Strong relationship management skills
• Excellent communication skills (written and verbal) in both English and French
• Self-starter and team player, able to work independently and collaboratively with various teams in a deadline-focused environment
• Ability to be proactive and communicate change in a fast-paced industry
• Passion and knowledge about legislation regarding ethics, integrity, and the fight against corruption
• Interest in continual learning and self-development

Education and Experience

• Good standing of the Quebec Bar or the bar of another Canadian province; or any other appropriate training.
• Canadian Securities Course (CSC)
• A minimum of 5 years of relevant experience in Compliance at an AMF regulated portfolio manager
• Proficient with NDEX an asset
• Proficient with Microsoft Office Suite
• Staff management of 2 or more employees
• Bilingual (English / French), ability to communicate well in English is required due to the employee communication needs across Canada.

Remuneration

• Base salary + bonus / profit share
• Full Health and RRSP program
• Wellness / Vacation / Personal Time Off policies
• Hybrid work environment
8 days ago