Compliance Manager

Downtown Montreal East, Canada | Posted on 11/04/2024We 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 themPerform various compliance and monitor functions related toportfolio managementAudit work performed by the back-office IM teamConduct periodic audits of compliance system processes toensure they are being followedAssist the IM Team in the interpretation and implementationof regulatory requirementsCapture and analyze new Bills and new regulations to informthe parties concerned of upcoming changes, while supporting them in theimplementation of these changesAnalyze Investment Counsellors’ LinkedIn, Instagram and othersocial media to ensure compliance with our Social Media Policy.Strongorganizational skills, autonomous and detailed orientedStrong relationship managementskillsExcellent communication skills(written and verbal) in both English and FrenchSelf-starter andteam player, able to work independently and collaboratively with variousteams in a deadline-focused environmentAbility to be proactive and communicate change in a fast-paced industryPassion and knowledge aboutlegislation regarding ethics, integrity, and the fight against corruptionInterest incontinual learning and self-developmentEducationand 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 managerProficient with NDEX an assetProficient with Microsoft Office SuiteStaff management of 2 or more employeesBilingual (English/French), ability to communicate well in Englishis required due to the employee communication needs across Canada.Remuneration
Base salary + bonus/profit shareFull Health and RRSP programWellness/Vacation/Personal Time Off policies
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