Senior Trading Compliance Manager

2 weeks ago

Old Toronto, Canada Purpose LP Full time

Purpose Investments Inc, 130 Adelaide St. West, Toronto, Ontario, Canada Req #67

Tuesday, February 27, 2024

Purpose Unlimited is an independent financial services company with an unrelenting focus on customer-centric innovation, delivered through technology-driven solutions. Led by entrepreneur Som Seif, the company is developing a diversified product platform aimed at addressing historically underserved segments of the market. Purpose Unlimited's businesses include Purpose Investments, Advisor Solutions by Purpose, and Driven.

Role Summary:

The successful candidate is comfortable in a highly regulated compliance environment, has a strong understanding of the National Instruments applicable to Investment Fund Managers, Portfolio Managers, and Exempt Market Dealers, is extremely organized, and has experience with best practices of policies and procedures.

At its core, this role will involve refining and maintaining the compliance program for Purpose Unlimited’s enterprise trade compliance requirements, for personal trading, retail client portfolio-managed accounts, and in-house managed investment funds. The successful candidate will be required to run the trading compliance program and its related controls for multiple registrants, escalate anomalies to the relevant CCO, and manage compliance responsibilities in various trading contexts. The role will also include account opening reviews for portfolio-managed and exempt-market dealer accounts and oversight of sub-advisors.

This is an individual contributor role with NO direct reports.

Responsibilities:

  • Trading and portfolio management surveillance of retail accounts and investment funds;
      • Implementing and monitoring pre- and post-trade controls for compliance with trading rules
      • Review of post-trade compliance reports
      • Working with portfolio managers and the trade desk individuals in support of the compliance program
  • Regularly reviewing and advising on trading-related compliance matters, such as:
      • Fund portfolio compliance (including National Instrument rules, Prospectus requirements, IPS, and exemptive relief requirements)
      • Best execution obligations
      • Trade allocation obligations
      • Soft dollar arrangements
      • Standing instructions adherence
  • Reviews of account opening documentation for EMD and PM clients.
  • Personal trading program improvements, maintenance, and business-as-usual operation.

Candidate Requirements:

  • University degree.
  • Minimum of five years experience within the investment fund industry, with at least 2+ years of experience in regulatory compliance and/or risk monitoring, with a focus on trading compliance.
  • Familiarity with the securities regulatory environment, specifically the trading rules of investment funds, portfolio managers, retail client accounts, and sub-advisor oversight.
  • Familiarity with Bloomberg and working with a trade desk is a strong asset.
  • Understanding of effective pre-trade and post-trade control techniques, and corresponding monitoring and testing.
  • Completion of the Canadian Securities Course, pursuing a CFA designation or CIM and/or related courses is considered a strong asset.
  • We believe in innovation and a vibrant culture- work for an innovative, people-first, financial services firm that values entrepreneurialism.
  • We believe in a flexible work structure– A flexible hybrid work model that empowers you to do your best work whether at home or the office.
  • We care about your rewards- Competitive compensation including equity program.
  • We care about your health– comprehensive group health and dental benefits and life insurance at little to no cost to you, We also offer a Lifestyle Spending Account for all your wellness needs.
  • We care about your quality of life- flexible paid time-off policy with unlimited vacation days, and flexible sick and mental health days.
  • We care about your family- Paid parental leave for eligible employees with a top-up.
  • We care about your future – Generous Group RRSP matching and an optional TFSA program.
  • We care about your development– We offer training opportunities and tuition support year-round.

Purpose Unlimited is an equal employer and we are dedicated to fostering an inclusive and barrier-free work environment for all employees and candidates. We encourage all qualified candidates to apply and if accommodation is required during any stage of the recruitment process, please contact any member of the People and Culture team atpeopleteam@purpose-unlimited.com .

We thank all applicants for their interest; however, only those selected for interviews will be contacted.

Our work philosophy is a hybrid model allowing for flexibility and collaboration.

  • Purpose Investments Inc, 130 Adelaide St. West, Toronto, Ontario, Canada
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