Senior Portfolio Manager, Supervision

4 weeks ago

Toronto, Ontario, Canada Wellington-Altus Full time

Job Title: Senior Portfolio Manager, Supervision

Job Summary:

We are seeking a highly experienced and skilled Senior Portfolio Manager, Supervision to join our team at Wellington-Altus Private Wealth. As a key member of our investment team, you will be responsible for supervising the activities of Portfolio Managers and ensuring compliance with regulatory requirements.

Key Responsibilities:

  • Chair the Portfolio Management Committee to review the status of all managed accounts for suitability, performance, and business standards.
  • 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 to ensure they develop appropriate standards and systems as Portfolio Managers.
  • Assist in the ongoing maintenance of a Portfolio Management Approval Process to vet internal candidates for firm sponsorship.
  • Support the creation and maintenance of supervision programs and related procedures to ensure compliance with regulatory requirements.
  • Participate in internal compliance reviews or external regulator audits conducted at Head Office or branches.
  • Continuously look for ways to improve the firm's system of compliance and supervision.

Requirements:

  • Bachelor's degree in business administration, finance, or a related field.
  • Current registration as a Portfolio Manager (PM) with CIRO or as an Advising Representative (AR) with a Provincial Securities Commission with successful completion of the Chartered Financial Analyst (CFA) program.
  • Ability to be registered as a Supervisor, including completion of the Investment Dealers Supervisor Course (IDSC).
  • Successful completion of the proficiency requirements for a Supervisor, including the Canadian Securities Course, Conduct and Practices Handbook, CFA, or CIM.
  • Minimum of 10+ years of financial services experience, preferably with a Dealer Member or ICPM.
  • In-depth knowledge of the financial services industry, including regulatory requirements of CIRO, securities commissions, and the SEC.
  • Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
  • Demonstrate a high level of accountability, reliability, adaptability, and innovation in accomplishing day-to-day work and long-term goals.
  • Exemplary interpersonal and influencing skills, with the ability to communicate effectively and work collaboratively across multiple mediums.
  • A high tolerance for ambiguity, with the ability to manage a large volume of competing priorities.
  • Strong critical thinking and written and verbal communication skills.
  • An ability to maintain the highest levels of confidentiality.
  • Strong organizational skills and attention to detail, with the ability to prioritize effectively and handle multiple tasks in a fast-paced environment.
  • Proven analytical and problem-solving skills.

Conditions of Employment:

  • Must be legally eligible to work in Canada.
  • Current registration as a Portfolio Manager (PM) with CIRO or as an Advising Representative (AR) with a Provincial Securities Commission with successful completion of the Chartered Financial Analyst (CFA) program.
  • Ability to be registered as a Supervisor, including completion of the Investment Dealers Supervisor Course (IDSC).
  • A background check, satisfactory to the employer, may be required of the successful applicant prior to commencing employment.

Wellington-Altus Private Wealth is an equal opportunities employer and welcomes applications from diverse candidates.

To apply, please submit your application through our website.

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