Senior Portfolio Manager, Supervision
4 weeks ago
Job Title: Senior Portfolio Manager, Supervision
Job Summary:
We are seeking a highly experienced Senior Portfolio Manager, Supervision to join our team at Wellington-Altus Private Wealth. As a key member of our investment management 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 managed accounts.
- Conduct supervision activities, including reviewing trade alerts and reports, account opening, and KYC updates.
- Manage the regulatory obligation of direct supervision over Associate Portfolio Managers.
- Assist in the maintenance of a Portfolio Management Approval Process.
- 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 Private Wealth is a leading investment dealer in Canada, offering a dynamic and supportive work environment. We are committed to equity and diversity and welcome applications from qualified individuals who would contribute to our organization's diversity.
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