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Compliance Manager
2 months ago
We are seeking a highly skilled Compliance Manager to join our team at Value Partners Investments Inc. as a key member of our Compliance Department. The successful candidate will be responsible for ensuring that our investment counseling services are compliant with all applicable rules and regulations.
Key Responsibilities- Provide leadership and guidance to the Compliance Team on all aspects of the Compliance Program, including managing resources, ensuring consistent protocols and guidelines are applied, identifying trends, and recommending process/policy improvements and/or corrective actions.
- Monitor, analyze and report monthly to the Chief Compliance Officer and other stakeholders on the status of the 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 Compliance Program.
- Continuously review, analyze, and recommend changes to internal or external technology solutions and reporting required to ensure efficient and effective oversight over the Compliance Program.
- Assist the company with the achievement of strategic initiatives and projects.
- Provide leadership, mentoring and performance development feedback to assigned staff.
- Conduct training for staff on compliance requirements and emerging issues.
- Collaborate with the Chief Compliance Officer and other stakeholders to address complex client situations and work towards solutions.
- 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.
- 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.
- 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.
