Compliance Manager
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Downtown Montreal East, Canada | Posted on 11/04/2024
We arelooking for a key contributor to join our compliance team as a ComplianceManager based in our Montreal office.
Who we are:
We are one of Canada’s longest standingfee-only providers of integrated wealth management services to high-net-worthfamilies. Since 1979, our team of trusted professionals brings together, under one roof, tax, accountingand f inancial planning advice atthe deepest level , investment managementand estate planning with family governance services to help successful Canadianfamilies build and preserve their legacies. We are proud to have earnedthe rank of Trusted Advisor with our clients and to be a leader in theindustry.
Whoour clients are:
Ourexperience and technical knowledge make us best suited to service clients withmultiple needs, holding $2M and more in liquid assets, as well as Family Officeclients with assets ranging from $20M to $200M.
What we arelooking for:
A key professional who will report directly to the CCO and will beresponsible for the daily implementation of compliance policies and procedures,ensuring that all investment activities align with client investment policiesand applicable legislation. The ideal candidatewill be adept at navigating the challenges posed by the constantly evolvinglaws, regulations and industry guidelines.
Responsibilities
- Review and update the Investment ManagementDepartment’s policies, procedures and communications and participate inthe drafting of various reports, including quarterly reports
- Supervise the work of the Compliance Associate
- Prepare training material and deliver to the IMTeam
- Help identify key performers and monitor them
- Perform various compliance and monitor functions related toportfolio management
- Audit work performed by the back-office IM team
- Conduct periodic audits of compliance system processes toensure they are being followed
- Assist the IM Team in the interpretation and implementationof regulatory requirements
- Capture and analyze new Bills and new regulations to informthe parties concerned of upcoming changes, while supporting them in theimplementation of these changes
- Analyze Investment Counsellors’ LinkedIn, Instagram and othersocial media to ensure compliance with our Social Media Policy.
- Strongorganizational skills, autonomous and detailed oriented
- Strong relationship managementskills
- Excellent communication skills(written and verbal) in both English and French
- Self-starter andteam player, able to work independently and collaboratively with variousteams in a deadline-focused environment
- Ability to be proactive and communicate change in a fast-paced industry
- Passion and knowledge aboutlegislation regarding ethics, integrity, and the fight against corruption
- Interest incontinual learning and self-development
Educationand Experience
- Good standing of the Quebec Bar or the bar of another Canadianprovince; or any other appropriate training.
- Canadian Securities Course (CSC)
- A minimum of 5 years of relevant experience in Compliance at an AMFregulated 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 Englishis 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
Vacancy posted 5 hours ago
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