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Head of Compliance – Wealth Advisory

3 months ago

Winnipeg, Manitoba, Canada Vpinvestmentcounsel Full time

About Us

Value Partners Investments (VPI) is a prominent investment firm based in Winnipeg, established in 2005. We manage over $4.7 billion in assets through various investment funds and provide discretionary investment management services to affluent families across Canada through Value Partners Investment Counsel (VPIC).

Our Mission

Our goal is to enhance client wealth through prudent investment strategies and transparent communication. Over the years, we have successfully generated over $1.8 billion in investment gains for our clients, establishing ourselves as one of Canada's rapidly growing firms, recognized by Profit Magazine and Investor Economics.

Position Overview

The selected candidate will ensure that Value Partners Investment Counsel Inc. (VPIC) operates in compliance with all relevant regulations while delivering investment counseling services to clients in Canada and the U.S. This role will report directly to the Chief Compliance Officer (CCO) and will lead a team of compliance professionals.

Key Responsibilities

Leadership and Oversight

  1. Guide and supervise VPIC Compliance Staff in all facets of the VPIC Compliance Program, including resource management, protocol consistency, trend identification, and process improvement recommendations.
  2. Manage the VPIC Compliance Program, which encompasses:
    1. Client account approvals and updates to know-your-client information.
    2. Monitoring of client households and accounts.
    3. Approval of marketing materials for VPIC or PM.
    4. Reviews of the VPIC website and PM microsite.
    5. Oversight of social media and email communications.
    6. Annual employee compliance certifications.
    7. Handling of client complaints.
    8. Conducting branch audits.
    9. Client onboarding and document reviews.
    10. Personal trading assessments for Access Persons.
    11. Training for VPIC Compliance employees.
    12. Supervision of referral arrangements.
    13. Updates to regulatory registrations.
    14. Recommendations for revisions to the Canadian Compliance Manual.
    15. Creation and maintenance of compliance procedures for VPIC staff.
    16. Support for regulatory and AML audits.
    17. Management of Canadian Anti-Spam Legislation (CASL) records and assessments.
  3. Analyze and report monthly to the CCO and UDP on the VPIC Compliance Program's status.
  4. Develop and maintain effective relationships with internal partners, including Operations, IT, and Portfolio Management teams.
  5. Continuously assess and recommend enhancements to technology solutions and reporting for effective compliance oversight.
  6. Assist VPIC in achieving strategic initiatives and projects.
  7. Provide mentorship and performance feedback to team members.
  8. Conduct compliance training for VPIC staff on requirements and emerging issues.
  9. Collaborate with the CCO and Operations on new regulatory implementations.
  10. Support the CCO in addressing regulatory inquiries and reviews.
  11. Work with the CCO to resolve complex client situations.
  12. Perform other duties and special projects as assigned.
Qualifications

Education & Experience

  1. A minimum of 5 years in progressively senior compliance roles.
  2. Preferred: Leadership experience in staff performance and development.
  3. A post-secondary degree in a relevant business field.
  4. Completion of the Canadian Securities Course (CSC), Branch Managers' Course (BMC), Partners, Directors, and Senior Officers Course (PDO), and Chief Compliance Officers Course (CCO).
  5. A combination of education and experience will be considered.

Technical Knowledge

  1. Understanding of financial planning principles.
  2. Comprehensive knowledge of the financial services sector, including provincial Securities Acts and AML regulations.
  3. Proficiency in Microsoft Office applications.
  4. Ability to think strategically and critically to enhance compliance program efficiency.

Skills & Abilities

  1. Strong oral and written communication skills, with the ability to convey information effectively to various audiences.
  2. Experience interacting with senior executives on complex issues.
  3. Excellent organizational skills with the ability to manage multiple tasks under tight deadlines.
  4. Strong time management and adaptability skills.
  5. Exceptional attention to detail.
  6. Proven analytical, problem-solving, and decision-making abilities.
Additional Information
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