Manager, Compliance – Private Wealth

2 weeks ago

Winnipeg, Canada Value Partners Investments Inc. Full time

Founded in 2005, Value Partners Investments (VPI) is a Winnipeg-based investment firm that currently manages over $4.7 Billion in assets primarily through nine investment funds as well as through Value Partners Investment Counsel (VPIC) which provides discretionary investment management services to wealthy families across Canada.

Our mission is to build client wealth by investing wisely and communicating clearly. Over the past 18 years we have fulfilled that mission by creating over $1.8 Billion in investment gains for clients. This track record of success has enabled us to become one of Canada’s fastest growing companies as ranked by Profit Magazine and one of Canada’s fastest growing Private Investment Counsels by Investor Economics.

The incumbent will be responsible for ensuring Value Partners Investment Counsel Inc. (VPIC) as a Portfolio Manager (PM) is compliant with all applicable rules and regulations in the execution of its investment counseling services (for both Canadian and U.S. clients). To the extent possible, compliance activities are expected to be client centric, proactive in nature and efficient. This position will report directly to the Chief Compliance Officer (CCO) and will be responsible for the oversight and leadership of a team of Compliance resources to fulfill this function. The Manager, Compliance – Private Wealth will work closely with the CCO on all compliance matters within VPIC with additional oversight and support from the executive team and legal counsel.

Job Description

Responsibilities

• Responsible for providing leadership, guidance, and oversight of VPIC Compliance Staff on all aspects of the VPIC Compliance Program including managing resources, ensuring consistent protocols and guidelines are applied, identifying trends, and recommending process/policy improvements and/or corrective actions.
• The VPIC Compliance Program includes:
o Approval of new client accounts and know-your-client information updates.
o Offside client household and account monitoring.
o Approval of VPIC or PM marketing materials.
o VPIC website and PM microsite reviews.
o Social media and email monitoring.
o Annual employee certifications.
o Complaint handling.
o Branch audits.
o Client onboarding and other form reviews and revisions.
o Personal trading reviews for Access Persons.
o VPIC Compliance employee training (new and ongoing).
o Supervision of referral arrangements.
o Updates to NRD registrations.
o Recommendations to changes to Canadian Compliance Manual.
o Creation and maintenance of VPIC Compliance Staff procedures.
o Providing necessary support for Regulatory and AML Audits.
o Maintaining Canadian Anti Spam Legislation (CASL) records and conducting CASL assessments
• Monitor, analyze and report monthly to the CCO and UDP on the status of the VPIC Compliance Program.
• Develop and manage effective relationships and ongoing communications with internal business partners including Operations, Information Technology, and the Portfolio Management team to ensure clear and concise direction and guidance is provided on the requirements of the VPIC Compliance Program. Foster a culture of collaboration between team members and these stakeholders.
• Continuously review, analyze, and recommend changes to internal or external technology solutions and reporting required to ensure efficient and effective oversight over the VPIC Compliance Program.
• Assist VPIC with the achievement of strategic initiatives and projects.
• Provide leadership, mentoring and performance development feedback to assigned staff.
• Conduct training for VPIC Staff on compliance requirements and emerging issues.
• Collaborating with the CCO/Operations on the implementation of new regulatory requirements
• Keeping informed/knowledgeable of changing regulations, industry best practices, etc. (e.g. attending/participating in PMAC events)
• Supporting the CCO in response to regulatory inquiries/reviews and other assigned tasks.
• Collaborating with the CCO to address complex client situations and working towards solutions.
• Other miscellaneous duties and special projects as assigned.

Qualifications

Qualifications

Education & Experience

• Minimum 5 years of experience working in progressively more senior compliance roles.
• Nice-To-Have: Leadership experience, including staff performance, development, and coaching.
• Post-secondary degree in a relevant business discipline.
• Completion of the Canadian Securities Course (CSC), Branch Managers’ Course (BMC), Partners, Directors, and Senior Officers Course (PDO), and Chief Compliance Officers Course (CCO).
• A combination of education and experience will be considered.

Technical Knowledge

• Knowledge of financial planning concepts.
• In-depth knowledge of the financial services industry, including high proficiency in understanding provincial Securities Acts, AML regulations, and working knowledge of the bylaws, regulations, and policies of the New SRO.
• Proficiency in the Microsoft suite of products.
• Key ability to think strategically and critically with a view to maximizing efficiency and effectiveness of the compliance program.

Skills & Abilities

• Effective oral and written communication skills including the ability to communicate at the right level for the audience and present information in a convincing manner.
• Experience and interaction with senior executives and leaders on complex and material issues.
• Excellent organizational skills with the ability to prioritize and perform multiple tasks and deal with interruptions while working within strict deadlines.
• Excellent time management and adaptability.
• Exceptional attention to detail
• Proven analytical, problem solving and decision-making skills.

Additional Information #J-18808-Ljbffr

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