![Value Partners Investments](https://media.trabajo.org/img/noimg.jpg)
Manager, Compliance
3 weeks ago
**Company Description** Position Summary**
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:
- Approval of new client accounts and know-your-client information updates.
- Offside client household and account monitoring.
- Approval of VPIC or PM marketing materials.
- VPIC website and PM microsite reviews.
- Annual employee certifications.
- Complaint handling.
- Branch audits.
- Client onboarding and other form reviews and revisions.
- Personal trading reviews for Access Persons.
- VPIC Compliance employee training (new and ongoing).
- Supervision of referral arrangements.
- Updates to NRD registrations.
- Recommendations to changes to Canadian Compliance Manual.
- Creation and maintenance of VPIC Compliance Staff procedures.
- Providing necessary support for Regulatory and AML Audits.
- 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
-
Compliance Manager
2 weeks ago
Winnipeg, Canada NFI Group Inc. Full time**Compliance Manager** **NFI** is a leading global bus manufacturer of mass mobility solutions under the brands New Flyer® (heavy-duty transit buses), MCI® (motor coaches), Alexander Dennis Limited (single and double-deck buses), Plaxton (motor coaches), ARBOC® (low-floor cutaway and medium-duty buses), and NFI Parts. NFI currently offers the widest...
-
IT Compliance Manager
3 days ago
Winnipeg, Canada Pollard Banknote Limited Full timeWe're looking for an IT Compliance Manager to join our Digital Governance Department within our Winnipeg head office at 140 Otter Street. As the IT Compliance Manager, you will be responsible for shaping and leading Pollard Banknote's (PBL) IT Digital Governance, Risk Management, & Compliance (GRC) program. Initially, you will help us achieve compliance...
-
Compliance Manager
4 days ago
Winnipeg, Canada NFI Group Inc. Full timeCompliance ManagerNFI is a leading global bus manufacturer of mass mobility solutions under the brands New Flyer® (heavy-duty transit buses), MCI® (motor coaches), Alexander Dennis Limited (single and double-deck buses), Plaxton (motor coaches), ARBOC® (low-floor cutaway and medium-duty buses), and NFI Parts™. NFI currently offers the widest range of...
-
Manager, Compliance
6 days ago
Winnipeg, Canada Paladin Airport Security Services Full timeManager, Compliance We are hiring two Managers, Compliance based out of Winnipeg Airport. **Why Paladin?** **Paladin Airport Security Services (PASS) has a diverse workforce. We believe in and are committed to a workplace culture of respect, inclusion, and diversity.** - You receive top industry wages - You have the opportunity to advance and grow your...
-
Environmental Health
7 days ago
Winnipeg, Canada Safety and Environmental Health Services Manager Full timeThe Environmental Health & Safety Manager will provide leadership, mentoring, and direction to all Malteurop Canadian employees to ensure employee health and the environment are protected. This role will conduct and manage activities that ensure compliance with governmental regulations and corporate policies. This includes advising, implementing and...
-
Manager, Compliance Programs
1 week ago
Winnipeg, Canada Wawanesa Insurance Full time**Date**:Jun 20, 2024 **Location**: Winnipeg, MB (Hybrid), CA North York - Toronto, ON (Hybr, CA Calgary, AB (Hybrid), CA **Company**:Wawanesa Insurance **Job ID**: 8211 **Working Business Language**: English. **Salary**: At Wawanesa, salary is only one component of a holistic, comprehensive and competitive offering that we provide to our employees. In...
-
Safety & Compliance Manager
2 weeks ago
Winnipeg, Canada Rig Logistics Inc Full time**Company Overview**: Rig Logistics Inc is a leading Transportation and Logistics company committed to delivering comprehensive solutions to our valued customers. In line with our dedication to excellence and innovation, we are actively seeking a dynamic and experienced Safety and Compliance Supervisor to lead safety initiatives, ensure regulatory...
-
Compliance Program Manager
1 week ago
Winnipeg, Manitoba, Canada beBee Professionals Full timeJob Title: Compliance Program ManagerLocation: Winnipeg, ManitobaCompany: beBee ProfessionalsJob Description:beBee Professionals is seeking an experienced Compliance Program Manager to join our team in Winnipeg, Manitoba. The Compliance Program Manager will be responsible for developing, implementing, and managing the organization's compliance program. This...
-
Regulatory Compliance Manager
2 weeks ago
Winnipeg, Canada Credit Union Central of Manitoba (CUCM) Full timeThe Regulatory Compliance Manager is responsible for the leadership, innovation, and governance necessary to identify and document compliance requirements observed by CUCM and ascertain that sound processes have been implemented to comply with all applicable compliance legislative, regulatory and internal policy requirements. This role supports the...
-
Risk & Compliance Manager
1 week ago
Winnipeg, Canada Pollard Banknote Ltd Full timeWe're looking for a dynamic Risk and Compliance Manager to become a vital part of the Pollard Banknote team. Reporting directly to the VP of Finance & Treasury, your role goes beyond mere number-crunching — it's about safeguarding the integrity of our operations and ensuring we stay ahead of the game. As the Risk and Compliance Manager, you'll be the...
-
Finance Compliance Manager
1 week ago
Winnipeg, Manitoba, Canada Air Canada Full timeDescriptionBeing part of Air Canada is to become part of an iconic Canadian symbol, recently ranked the best Airline in North America. Let your career take flight by joining our diverse and vibrant team at the leading edge of passenger aviation.This requires close collaboration with the Manager, Audit and Compliance. The experienced individual will be...
-
Risk & Compliance Manager
1 week ago
Winnipeg, Manitoba, Canada Pollard Banknote Ltd Full timeWe're looking for a dynamic Risk and Compliance Manager to become a vital part of the Pollard Banknote team. Reporting directly to the VP of Finance & Treasury, your role goes beyond mere number-crunching — it's about safeguarding the integrity of our operations and ensuring we stay ahead of the game.As the Risk and Compliance Manager, you'll be the...
-
Risk and Compliance Manager
4 weeks ago
Winnipeg, Canada Searcy Trucking Ltd Full timeSearcy Trucking Ltd. believes that dedicated and innovative people are the key to our company's success over the last 53 years. We are currently hiring an experienced RISK AND COMPLIANCE MANAGER out of our head office in Winnipeg, Manitoba. **Basic Purpose**: Establish practices and procedures ensuring the company remains in compliance with all applicable...
-
Safety & Compliance Manager
3 weeks ago
Winnipeg, Canada Canada Cartage Full timeCareer Opportunity SAFETY & COMPLIANCE MANAGER **Why you’ll love Canada Cartage** An iconic Canadian company with over 100 years of helping companies grow and succeed in Canada, we provide national dedicated fleet solutions, general freight services, managed transportation, fulfillment & distribution, and home delivery. With a national network of...
-
Safety and Compliance Manager
4 weeks ago
Winnipeg, Canada Win-Mar Freight Group Full timeAre you ready to join a great team of people and make an impact in the transportation industry. Well Win-Mar Freight Group has an opening for a dynamic person to join the team. We have a position opening in our safety and compliance department. This person will be required to fulfill the following duties: **Safety/Compliance**: - Planning, implementing &...
-
Compliance Manager
1 week ago
Winnipeg, Canada Doheny Securities Limited Full time**REQUIREMENTS**: - Refined attention to detail - Strong communication skills, both written and verbal - Excellent time management skills - Strong analytical, critical thinking and problem solving skills - The ability to organize and follow-up on multiple tasks and details with accuracy and timeliness - Must have experience in the mutual fund/financial...
-
Manager, Compliance Supervision
2 days ago
Winnipeg, Canada Harbourfront Wealth Management Inc. Full time**Who we are**: Harbourfront Wealth Management Inc. is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing CIRO registered securities dealer. The firm provides financial services and holistic wealth management solutions for mid to high-net-worth individuals. At Harbourfront Wealth Management, our core...
-
Manager, Compliance Supervision
2 weeks ago
Winnipeg, Canada Harbourfront Wealth Management Inc. Full time**Who we are**: Harbourfront Wealth Management Inc. is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing CIRO registered securities dealer. The firm provides financial services and holistic wealth management solutions for mid to high-net-worth individuals. At Harbourfront Wealth Management, our core...
-
Manager, Compliance Supervision
1 week ago
Winnipeg, Canada Harbourfront Wealth Management Inc. Full time**Who we are**: Harbourfront Wealth Management Inc. is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing employee-owned firm and IIROC registered securities dealer. The firm provides financial services and holistic wealth management solutions for mid to high-net-worth individuals. At Harbourfront Wealth...
-
Manager, Compliance Supervision
3 weeks ago
Winnipeg, Canada Harbourfront Wealth Management Inc. Full time**Who we are**: Harbourfront Wealth Management Inc. is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing CIRO registered securities dealer. The firm provides financial services and holistic wealth management solutions for mid to high-net-worth individuals. At Harbourfront Wealth Management, our core...