Director of Compliance

Found in: beBee S CA - 2 weeks ago

Toronto, Canada Robert Walters Full time

Director of Compliance Are you an experienced compliance professional with a passion for the investment management business? Do you have a solid understanding of the rules and regulations governing the industry in Canada and the U.S.? Are you looking for an opportunity to join a small, rapidly growing portfolio manager that serves high-net-worth clients? This may be the perfect role for you.

This leading boutique wealth management firm has been providing returns to its clients exceeding the market and are in the enviable position of turning away interested investors.
The majority of their clients are UHNW individuals and families in Canadian however they also market to US and other jurisdictions. Subject to regulation and oversight by multiple regulators and government bodies, such as the Ontario Securities Commission, the U.S. Securities and Exchange Commission, and FINTRAC. We are looking for a Director of Compliance to assist in continuing to evolve our compliance program and ensure that it is highly effective and aligned with our business goals and client needs.

Responsibilities:
  • Maintain a strong understanding of regulations applicable to the firm and its business in Canada and the U.S. and maintain log of enacted and proposed regulatory changes impacting the firm.
  • Stay abreast of regulatory changes with the overall goal of ensuring policies and practices at the firm comply with current and upcoming regulations and best practices.
  • Draft and maintain compliance policies to ensure compliance with requirements and industry best practice. This will be done with an appreciation of the impact on the client experience.
  • Prepare and present training on compliance policies and program.
  • Manage the day-to-day compliance program including monitoring and testing, escalating deficiencies and recommending solutions.
  • Manage firm and individual registrations.
  • Prepare and present periodic reporting on compliance to firm’s leadership team.
  • Review client onboarding documentation, marketing decks, and other material to support compliance/CCO approval.
Requirements:
  • At least 8 years of relevant compliance experience in the investment management industry.
  • Knowledge of Canadian securities laws, regulations, and guidelines, especially as they relate to portfolio managers. Experience with U.S. Advisers Act is an asset.
  • Pays high attention to detail and accuracy.
  • Highly ethical and practical thinker able to apply regulations with an appreciation for the business impact.
  • Strong written and verbal communication skills.
  • Ability to translate complex regulations into clear, plain-language policies and procedures.
  • Ability to manage ad-hoc projects that require research, analysis and implementation.
  • Team player.

If you are interested in this role, please apply by clicking the button below. We offer a competitive compensation and benefits package, a collaborative work environment, and opportunities for professional growth.
We look forward to hearing from you.

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