Director, Compliance Risk Management

3 weeks ago

Victoria BC, Canada Alitis Investment Counsel Full time

Job Vacancy – Chief Compliance Officer Permanent, Full-Time or Part-Time
$Remote or in Campbell River, Comox, or Victoria

Located in beautiful Campbell River, BC, Alitis Investment Counsel is an employee-owned boutique investment firm focused on outstanding client service, intelligent financial strategies, and a hands-on approach. Established in 2009, Alitis emerged in response to the demand for investment solutions designed to protect investors against market fluctuations. Inspired by the investment strategies of the world's leading pension plans, Alitis has redefined investment management by incorporating alternative investments such as private real estate, private equity, and private mortgages. This approach aims to mitigate market volatility and thereby safeguarding our clients’ wealth.
The firm proudly manages over $460 million in assets, has over 20 team members, and has offices in Campbell River, Comox and Victoria.

We are currently on the lookout for our next C-Suite role, our Chief Compliance Officer. This role will be the first and last eyes on our work as an investment firm, ensuring that we remain compliant at all times as a firm and as the individuals acting on its behalf with securities legislation. Our new Chief Compliance Officer will help us make sure we are maintaining the highest standards possible.
 
As the ideal candidate, you inherently know the laws and regulations for our industry and are on top of any changes to the legislation. You will be the in-house compliance expert, guiding the CEO, Board of Directors, Executive Team, and staff on what compliance looks like and how Alitis will maintain its compliant status. Your ability to build understanding around and convey the importance of compliance will encourage managers and employees to recognize and report improprieties and non-compliant activities. The Chief Compliance Officer will review, monitor and build effective and efficient policies and procedures and ensure they are understood and respected by all who work at Alitis.
 
Develop Compliance Excellence
● Establish and maintain policies and procedures for assessing compliance by the firm, and individuals acting on its behalf, with securities legislation
● Monitor and assess compliance by the firm, and individuals acting on its behalf, with securities legislation
● Develop Alitis’ annual compliance work plan, including the risks that will be monitored by the compliance function
● Conduct an annual risk and insurance assessment using an enterprise-wide approach
● Oversee and monitor the implementation of the compliance program, including:
○ Compliance of Anti-Money Laundering rules for all companies and divisions
○ Compliance of Alitis Wealth Planning Inc. in accordance with the Insurance Council of BC guidelines (plus other provincial regulators where Alitis may be licensed)

Act as primary contact for Alitis’ regulatory legal counsel for all current registration and proposed registrations nationally
● Respond to government, public, and industry investigations and queries as the principal point of contact for Alitis in compliance-related situations
● Vet and approve all marketing materials for Alitis Group including, but not limited to, digital marketing, print ads, and the Alitis website
● Monitor external audit review processes, maintain awareness of compliance issues, and, in conjunction with Alitis’ appointed securities lawyers and senior management, respond to administrative inquiries related to compliance issues or audits
 
Report to the Ultimate Designated Person (UDP) or Board of Directors if non-compliance with securities legislation have been detected
● Prepare and submit quarterly reports to the Board of Directors assessing compliance with securities legislation
● Independently investigate and act on matters related to compliance
● Maintain current knowledge of laws and regulations applicable to the Alitis group and keep abreast of recent changes
● Maintain and update the Alitis Policy and Procedures Manual
● Actively participate in strategic planning for the Alitis Group as a key member of the executive team
● Develop and deliver on other special projects requested by the CEO and other executives
 
Bachelor’s degree in Finance, Business, Accounting or similar
● Meet the requirements of a Compliance Officer at an IFM (Investment Fund Manager) and PM (Portfolio Manager Firm) as outlined in NI 31-103
● 3+ years’ experience working in a compliance capacity
● Ability to travel to the offices at least twice per year and travel to compliance conferences as needed
 
Total compensation consists of a base salary, a team bonus, flexible schedule and work environment, and a comprehensive group benefits program, including an employer-funded group RRSP.
 
We strongly encourage applications from all people including those from marginalized communities, such as BIPOC, LGBTQ2s+, and people with disabilities.
 
All applicants will receive consideration for employment without regard to race, colour, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, or age.
 

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