Project Regulatory Specialist

3 weeks ago

Montréal QC, Canada Sagard Holdings Management Inc. Full time

La version française est ci-dessous.
Sagard is a multi-strategy alternative asset management firm active in venture capital, new venture creation, private equity, private credit, real estate, royalties with $14.5B in assets under management. Sagard also engages in private wealth management through its ecosystem partner Grayhawk.
We are looking to hire a Compliance Analyst to join Sagard’s legal team in Montreal. Sagard operates in an environment of rapid regulatory change and is undergoing rapid business growth. The ideal candidate will have experience with Canadian and US securities and privacy law. The core functions of this job require meticulous attention to detail and strong communication skills, including: drafting regulatory documents, updating policies and procedures, testing internal teams for compliance with our policies and procedures and designing and implementing pragmatic procedures. Success in this role requires mastery of these functions. At the same time, we believe that technology will shape the future of compliance: data analytics, artificial intelligence and knowledge management figure prominently in our vision for the compliance program of tomorrow. We believe that the strategic use of technology can help our business scale while reducing the firm’s risk and the successful candidate will play a key role in identifying and implementing technological solutions. On top of the core functions referenced above, the successful candidate will assist in the identification and implementation of complementary additions to the firm’s compliance tech stack. Other special projects might include assisting with compliance program integration in relation to M&A activity and producing reports which draw actionable insights from the firm’s data.
Day to day management of the firm’s compliance program
Maintenance and operation of the firm’s existing compliance technology stack
Periodic and event-driven testing of the firm’s compliance program, including reviews of the firm’s compliance policies and procedures and reviews of third-party service providers.
Ongoing or special projects related to the continuous improvement of the compliance program.
Identify and implement new technology solutions which can complement the firm’s existing compliance technology stack
Monitor regulatory developments from the U.Provide ad hoc support to the legal team on various legal matters relating to Sagard Holdings’ activities and operations.
A university degree in accounting, computer science/engineering, data science, economics, finance or law.
Relevant work experience in the fields of asset management, compliance and/or risk and experience working in compliance at a SEC-registered investment adviser and/or an OSC-registered exempt market dealer will be considered an asset.
Proficiency with Microsoft Office (and in particular Microsoft Excel) and Google Workplace. Proficiency with ComplySci, Global Relay and/or similar compliance management programs and AI tools will be considered an asset.
Understanding and/or interest in legal knowledge or legal process management will be considered an asset.
Entrepreneurial - self-starter, ability to operate quickly with lean resources and build systems and processes to scale a legal operation
At Sagard, we are dedicated to building a diverse, inclusive and authentic workplace. Elle exerce ses activités à partir de bureaux situés à Montréal, Toronto, New York, Paris et Denver. Nous envisageons d’embaucher un analyste de la conformité pour joindre l’équipe juridique de Sagard à Montréal. Le candidat idéal possédera de l’expérience en droit canadien et américain des valeurs mobilières et de la protection des renseignements personnels. Toutefois, nous accorderons la priorité à l’embauche pour les qualités démontrées de consciencieuse, de pragmatisme, de débrouillardise, d’intégrité et d’éthique de travail plutôt qu’à l’expérience.
Les fonctions essentielles de ce poste exigent un souci du détail et de solides compétences en communication, notamment : rédiger des documents réglementaires, mettre à jour des politiques et des procédures, tester la conformité des équipes internes à nos politiques et procédures et concevoir et mettre en œuvre des procédures pragmatiques. En même temps, nous croyons que la technologie façonnera l’avenir de la conformité : l’analyse de données, l’intelligence artificielle et la gestion du savoir occupent une place prépondérante dans notre vision du programme de conformité de demain. En plus des fonctions de base mentionnées ci-dessus, le candidat retenu participera à l’identification et à la mise en œuvre d’ajouts complémentaires à la gamme de technologies de conformité de la société. Parmi les autres projets spéciaux, mentionnons l’aide à l’intégration des programmes de conformité en ce qui a trait aux activités de fusions et acquisitions et la production de rapports qui tirent des informations exploitables des données de la société.
Gestion quotidienne du programme de conformité de la société
Maintien et exploitation du bloc de technologies de conformité existant de la société
Tests périodiques et fondés sur des événements du programme de conformité de la société, y compris l’examen des politiques et procédures de conformité de la société et l’examen de tiers fournisseurs de services.
Projets en cours ou spéciaux liés à l’amélioration continue du programme de conformité.
Repérer et mettre en œuvre de nouvelles solutions technologiques qui peuvent s’ajouter à la gamme actuelle de technologies de conformité de la société
Un diplôme universitaire en comptabilité, en informatique / génie, en science des données, en économie, en finance ou en droit.
Expérience de travail pertinente dans les domaines de la gestion d’actif, de la gestion des risques et/ou de la conformité et expérience en matière de conformité chez un conseiller en placement inscrit auprès de la SEC.
L’expérience de travail pertinente dans les domaines de la gestion d’actif, de la conformité et/ou de la conformité sera considérée comme un actif de conformité par la CVMO ou la SEC.
Maîtrise de Microsoft Office (et en particulier de Microsoft Excel) et de Google Workplace;. La maîtrise des programmes de conformité, de relais mondial et/ou de gestion de la conformité et des outils d’IA sera considérée comme un actif.
Êtes-vous certain de pouvoir faire le travail et êtes-vous enthousiaste à l’idée de saisir cette occasion, mais ne répondez pas à toutes les exigences?

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