Compliance Manager

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 financial 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