Manager, Operations and Compliance
4 weeks ago
Our client is seeking a dedicated and experienced Operation and Compliance Manager to join their dynamic team in Toronto. This role offers an exciting opportunity to support investment operations and compliance within a fast-paced investment management industry. The ideal candidate will be self-motivated, able to work with minimal supervision, and have a strong understanding of portfolio management systems and regulatory requirements.
What you'll do:
- Work closely with the operation team to support daily operations requests
- Act as an expert on the portfolio management system, working closely with the operation team to improve/enhance its functions
- Maintain up-to-date knowledge of NI 31-103, assisting in keeping regulatory requirements current
- Assist in maintaining compliance policies up-to-date
- Monitor and review staff personal trading activities
- Support client relations department when requested, including new accounts opening, client retentions, and account closing
- Prepare financial planning packages, brochures, presentations etc.
- Maintain end-to-end client account documentations
- Understand the trading cycle and participate in trading settlement reviews when requested
- Participate in projects and perform any other duties assigned
What you bring:
- A post-secondary degree, ideally in Business, Finance or a related field
- 5 years+ of experience working in an investment/asset management firm
- Industry courses such as CSC , CFP, CIM , CCO qualifying exams will be considered an asset
- Strong knowledge of investment products and account types
- Experience working in back office operations including compliance, portfolio platform and client relations
- Proficiency in Microsoft Excel, Word and Power Point
- Excellent time management skills with the ability to prioritize in a busy environment
- Excellent interpersonal and customer service skills
- Experience with portfolio management/client relations management systems
- Detail-oriented and result-driven with strong analytical skills
What sets this company apart:
Our client is a leading discretionary portfolio management firm located in midtown Toronto. They pride themselves on their dynamic team environment and commitment to continuous improvement. This is an exciting opportunity to join a firm that values self-motivation, expertise, and dedication to supporting operations and compliance within the fast-paced investment management industry.
What's next:
Ready for an exciting career move? Don't miss this opportunity
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