Portfolio Management Leader

1 day ago

Winnipeg, Manitoba, Canada Wellington-Altus Full time

Job Title: Portfolio Management Leader - Supervision

About the Role:

We are seeking an experienced Portfolio Management Leader to join our team in Supervision. As a key member of our leadership team, you will oversee the activities of Portfolio Managers within our organization, ensuring compliance with regulatory requirements and maintaining the highest standards of risk management.

Key Responsibilities:

  • Chair the Portfolio Management Committee to review and report on 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.

Requirements:

  • Bachelor's degree in business administration, finance, or a related field of study.
  • 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).
  • Minimum 10+ years of financial services experience, preferably working for a Dealer Member or ICPM.
  • In-depth knowledge of the financial services industry and regulatory requirements.

What We Offer:

  • A dynamic and collaborative work environment.
  • Opportunities for professional growth and development.
  • A competitive compensation package.

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