Compliance Analyst

2 weeks ago

Montréal, Canada Career Opportunities at Sagard Full time

**_La version française est ci-dessous._**

**About the job**

**Overview of Sagard**:
Sagard is a multi-strategy alternative asset management firm active in venture capital, new venture creation, private equity, private credit, real estate, royalties with $14.5B in assets under management. It operates out of offices in Montreal, Toronto, New York, Paris and Denver. Sagard also engages in private wealth management through its ecosystem partner Grayhawk.

**Position Overview**:
**Your Responsibilities**:

- Day to day management of the firm's compliance program
- Maintenance and operation of the firm's existing compliance technology stack
- Periodic and event-driven testing of the firm's compliance program, including reviews of the firm's compliance policies and procedures and reviews of third-party service providers.
- Ongoing or special projects related to the continuous improvement of the compliance program.
- Identify and implement new technology solutions which can complement the firm's existing compliance technology stack
- Monitor regulatory developments from the U.S. Securities and Exchange Commission, the Ontario Securities Commission and FINTRAC.
- Provide ad hoc support to the legal team on various legal matters relating to Sagard Holdings' activities and operations.

**Experience and Qualifications**:

- A university degree in accounting, computer science/engineering, data science, economics, finance or law.
- Relevant work experience in the fields of asset management, compliance and/or risk and experience working in compliance at a SEC-registered investment adviser and/or an OSC-registered exempt market dealer will be considered an asset.
- Proficiency with Microsoft Office (and in particular Microsoft Excel) and Google Workplace. Proficiency with ComplySci, Global Relay and/or similar compliance management programs and AI tools will be considered an asset.
- Understanding and/or interest in legal knowledge or legal process management will be considered an asset.
- Exceptional attention to detail and strong written and verbal communication skills.
- **Entrepreneurial**:

- self-starter, ability to operate quickly with lean resources and build systems and processes to scale a legal operation
- **Rigorous**:

- strong analytical and problem-solving skills; organized and exceptional attention to detail; a high degree of accuracy in a fast-paced, results-oriented workplace; hard-working and willingness to work extended hours when required
- **Proactive and innovative**:

- thrives in a dynamic working environment; curious, eager to learn about and contribute to a wide variety of topics; suggests new ideas and new ways of working
- **Collaborative**:

- inclusive operating style coupled with a hands-on, results-oriented attitude
- **Authentic **- demonstrates integrity, humility, professionalism, openness, and inclusiveness

**How to Apply**

**À propos du travail**

**Aperçu de Sagard**:
Sagard est une société de gestion d'actifs alternatifs à stratégies multiples active dans le capital de risque, la création de nouvelles entreprises, les capitaux propres privés, le crédit privé, l'immobilier, les redevances, dont l'actif sous gestion s'élève à 14,5 G$. Elle exerce ses activités à partir de bureaux situés à Montréal, Toronto, New York, Paris et Denver. Sagard participe également à la gestion de patrimoine privé par l'entremise de son partenaire écosystémique Grayhawk.

**Aperçu du poste**:
**Vos responsabilités**:

- Gestion quotidienne du programme de conformité de la société
- Maintien et exploitation du bloc de technologies de conformité existant de la société
- Tests périodiques et fondés sur des événements du programme de conformité de la société, y compris l'examen des politiques et procédures de conformité de la société et l'examen de tiers fournisseurs de services.
- Projets en cours ou spéciaux liés à l'amélioration continue du programme de conformité.
- Repérer et mettre en œuvre de nouvelles solutions technologiques qui peuvent s'ajouter à la gamme actuelle de technologies de conformité de la société
- Surveiller l'évolution de la réglementation de la Securities and Exchange Commission des États-Unis, de la Commission des valeurs mobilières de l'Ontario et du CANAFE.
- Fournir un soutien ponctuel à l'équipe juridique sur diverses questions juridiques liées aux activités et à l'exploitation de Sagard Holdings.

**Expérience et qualifications**:

- Un diplôme universitaire en comptabilité, en informatique / génie, en science des données, en économie, en finance ou en droit.
- Expérience de travail pertinente dans les domaines de la gestion d'actif, de la gestion des risques et/ou de la conformité et expérience en matière de conformité chez un conseiller en placement inscrit auprès de la SEC.
- L'expérience de travail pertinente dans les domaines de la gestion d'actif, de la conformité et/ou de la conformité sera c

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