We are currently seeking a Compliance Manager to join our Compliance team. In this role, the successful candidate is expected to assist the Chief Compliance Officer in the oversight of the portfolio investment, fund and regulatory Compliance program of our very successful team. The individual will also provide a range of Compliance support services to portfolio management teams, portfolio administration, fund accounting and other areas.
WHAT YOU WILL DO
- Create and document new processes and procedures for new compliance initiatives and controls, ensuring applicable securities laws and National Instrument rules are adhered to
- Create, communicate and maintain policies to reflect new or changing regulatory/industry standards or corporate developments
- Assess various investment strategies for adherence to applicable fund rules and regulations
- Analyze complex data for concentration, risk and exposure reporting to the CCO, senior management, regulators and auditors
- Apply policies and regulatory rules appropriately to respond to compliance related inquiries from business units
WHAT YOU WILL BRING
- Post-secondary education plus CPA, CFA or other industry related designations (or working towards)
- Minimum of 5 years of relevant industry experience in a senior compliance capacity at an investment management firm
- In depth knowledge of the financial industry including investment fund regulations and applicable National Instruments
- Strong communication skills, verbal and written
- Superior and versatile analytical skills, capable of advising across a range of compliance matters
- Strong MS Office skills, experience with MS Excel a must
- Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment
WHAT YOU CAN EXPECT FROM US
- Collaborative and friendly team environment
- Opportunities to develop and grow within the company
- Health and Wellness programs including discounted corporate fitness membership and nutritional seminars
- Modern, conveniently-located facilities
- Community involvement including OneWalk to Conquer Cancer, Bay Street Hoops and more.
We thank all applicants for their interest.