Counsel and Chief Compliance Officer

1 week ago

Toronto, Ontario, Canada Bridgehouse Full time

As an integral part of the Bridgehouse (BIPCo) executive leadership team and reporting to the President & CEO, the role of Counsel and CCO takes both a strategic and hands-on approach to the legal aspects of significant corporate initiatives, including: continuous disclosure for the Funds, new product development, reorganizations and strategic relationships, as well as overseeing the legal/contractual aspects of BIPCo's business affairs.

This role acts as the firm's primary contact for industry regulators and associations, keeping the firm apprised of regulatory changes and issues within the industry, while developing and overseeing the implementation of policies and procedures to maintain and improve BIPCo's compliance regime.


ESSENTIAL DUTIES AND RESPONSIBILITIES include the following:

Compliance Activities

  • Create, review and maintain detailed compliance manual of procedures for the firm and various departments for managing compliance risks in all products, activities, processes and systems;
  • Act as primary liaison with securities regulators;
  • Oversee regulatory reviews and audits;
  • Develop annual compliance plan for presentation to the Executive Compliance Committee; provide periodic reports to the committee regarding progress to the plan;
  • Effect and maintain all required Canadian advisor and dealer registrations for the firm and all registered and approved employees;
  • Maintain registration with each of the provincial securities regulators as Chief Compliance Officer;
  • Monitor and report to Management, the Board of Directors and Independent Review Committee on adherence with the compliance manual;
  • Monitor and report on personal trades of all employees each quarter to ensure compliance with firm's Code of Ethics;
  • Educate BIPCo staff about the compliance manual and compliance issues affecting BIPCo;
  • Communicate with firm personnel regarding compliance matters;
  • Monitor changes in provincial and federal laws affecting BIPCo and communicate same to Management and BIPCo personnel;
  • Act as Chief Privacy Officer and officer responsible for Anti-Money Laundering review and detection;
  • Oversee the review of advertising, sales communications and other promotional material for BIPCo prior to use to ensure compliance with applicable law;
  • Monitor and report on compliance with sales practices;
  • Monitor the firm's trading activities to avoid violations of applicable restrictions on transactions with affiliates for the BIPCo mutual funds;
  • Conduct testing of BIPCo's policies and procedures annually;
  • Conduct monthly and quarterly governance meetings and participate in BIPCo's various subcommittees;
  • Conduct annual subadvisor due diligence and participate in institutional RFP/RFI reviews;
  • Develop and support institutional client onboarding process and conduct ongoing client review.

Legal Activities

  • Manage continuous disclosure requirements for Bridgehouse Funds, including prospectuses and legal aspects of financial disclosure;
  • Advise senior management regarding ongoing or new legal requirements applicable to funds and fund changes, and to the business entity as a whole;
  • Provide or manage the provision of legal advice to management as necessary, including regulatory advice and review of commercial contracts;
  • Review all new product developments and business dealings for and on behalf of BIPCo;
  • Manage outside counsel relationships;
  • Act as Corporate Secretary in respect of the Board of Directors;
  • Maintain the BIPCo corporate minute books and records, prepare and file all required corporate resolutions and corporate filings;
  • Participate in drafting and negotiating strategic alliance, subadvisor agreements, subscription agreements and ongoing amendments.

Other Activities

  • Perform other duties as may be required from timetotime by the President & CEO and/or the Managing Directors;
  • Supervise Compliance Associate;
  • Maintain confidentiality of client and employee information;
  • Maintain ongoing knowledge of department procedures.

QUALIFICATIONS
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

EDUCATION and/or EXPERIENCE
Bachelor of Laws degree or Juris Doctor degree

and


At least five years of experience within the Canadian Mutual Fund industry with a broad knowledge of compliance issues required with particular emphasis on compliance with NI 81-102, NI and NI 62-103; IDA or MFDA compliance experience highly preferred.


CERTIFICATES, LICENCES, REGISTRATIONS

  • Registration with the OSC as our primary regulator
  • Licensed Notary

OTHER SKILLS AND ABILITIES

  • Excellent written and verbal communication skills
  • Excellent organizational skills
  • Excellent indi

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