Senior Portfolio Manager, Supervision

4 weeks ago


Toronto, Ontario, Canada Wellington-Altus Full time

Job Summary:

We are seeking a highly experienced and skilled Senior Portfolio Manager, Supervision to join our team at Wellington-Altus. The successful candidate will be responsible for supervising the activities of Portfolio Managers, ensuring compliance with regulatory requirements, and maintaining the highest standards of business conduct.

Key Responsibilities:

  • Chair the Portfolio Management Committee to review and report on the status of all managed accounts.
  • Conduct supervision activities, including reviewing and approving trade alerts and reports, account opening, KYC, and IPS updates.
  • Manage the regulatory obligation of direct supervision over Associate Portfolio Managers.
  • Assist in the maintenance of a Portfolio Management Approval Process to vet internal candidates.
  • Support the creation and maintenance of supervision programs for managed accounts.
  • Participate in internal compliance reviews and external regulator audits.

Requirements:

  • Bachelor's degree in business administration, finance, or a related field.
  • Current registration as a Portfolio Manager with CIRO or an Advising Representative with a Provincial Securities Commission.
  • Ability to be registered as a Supervisor, including completion of the Investment Dealers Supervisor Course.
  • Minimum 10+ years of financial services experience, preferably with a Dealer Member or ICPM.
  • In-depth knowledge of the financial services industry and regulatory requirements.

What We Offer:

Wellington-Altus is a leading investment dealer in Canada, committed to equity and diversity. We offer a dynamic and inclusive work environment, competitive compensation, and opportunities for professional growth and development.



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