Compliance Specialist

7 days ago

Montreal, Quebec, Canada Staffing In Motion Full time
Investment Compliance Position

We are seeking a detail-oriented and organized professional to join our compliance team as a Compliance Attorney. This key contributor will be based in our Montreal office, supporting the daily implementation of compliance policies and procedures.

About Us

We are one of Canada's longest-standing fee-only providers of integrated wealth management services to high-net-worth families. With over 40 years of experience, our team of trusted professionals brings together tax, accounting, and financial planning advice at the deepest level, investment management, and estate planning with family governance services to help successful Canadian families build and preserve their legacies.

The Ideal Candidate

A strong candidate will possess excellent organizational skills, be autonomous and detailed-oriented, and have a proven ability to work independently and collaboratively with various teams in a deadline-focused environment. They will also have a passion for legislation regarding ethics, integrity, and the fight against corruption, as well as an interest in continual learning and self-development.

Responsibilities

  • Review and update the Investment Management Department's policies, procedures, and communications, and participate in the drafting of various reports, including quarterly reports.
  • Supervise the work of the Compliance Associate.
  • Prepare training material and deliver it to the IM Team.

Additional Responsibilities

  • Help identify key performers and monitor them.
  • Perform various compliance and monitoring functions related to portfolio management.
  • Audit work performed by the back-office IM team.
  • Conduct periodic audits of compliance system processes to ensure they are being followed.
  • Assist the IM Team in the interpretation and implementation of regulatory requirements.
  • Capture and analyze new bills and regulations to inform parties concerned of upcoming changes, while supporting them in the implementation of these changes.
  • Analyze Investment Counsellors' social media to ensure compliance with our Social Media Policy.

Key Competencies

  • Strong relationship management skills.
  • Excellent communication skills (written and verbal) in both English and French.
  • Self-starter and team player, able to work independently and collaboratively with various teams in a deadline-focused environment.

Education and Experience

A minimum of 5 years of relevant experience in Compliance at an AMF regulated portfolio manager. Good standing of the Quebec Bar or the bar of another Canadian province; or any other appropriate training. Proficient with NDEX and Microsoft Office Suite. Staff management of 2 or more employees. Bilingual (English/French), with the ability to communicate well in English due to employee communication needs across Canada.

Compensation Package

$125,000-$150,000 base salary + bonus/profit share. Full Health and RRSP program. Wellness/Vacation/Personal Time Off policies. Hybrid work environment.

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