Senior Portfolio Manager, Supervision

1 month ago

Winnipeg, Manitoba, Canada Wellington-Altus Private Wealth Inc. 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 Inc. As a key member of our organization, 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 oversee the suitability, performance, and business standards of 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 to ensure they develop appropriate standards and systems.
  • Assist in maintaining a Portfolio Management Approval Process to vet internal candidates for firm sponsorship.
  • Support the creation and maintenance of supervision programs to ensure compliance with regulatory requirements.
  • Participate in internal compliance reviews and external regulator audits.
  • Continuously 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).
  • Minimum 10+ years of financial services experience, preferably with a Dealer Member or ICPM.
  • In-depth knowledge of the financial services industry, including regulatory requirements.
  • Proficiency in MS Office, including Word, Excel, PowerPoint, Teams, and Outlook.
  • Strong critical thinking, written and verbal communication skills, and ability to maintain confidentiality.
  • Strong organizational skills, attention to detail, and ability to prioritize effectively.

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 prior to commencing employment.

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

To apply:

Click the Apply for This Job button to submit your resume, cover letter, and salary expectations. You will be contacted if selected for an interview.

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