Manager, Operations and Compliance

4 weeks ago


Toronto, Ontario, Canada Robert Walters Full time

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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