Senior Portfolio Manager, Supervision
4 weeks ago
Job Summary:
We are seeking a highly experienced Senior Portfolio Manager, Supervision to join our team at Wellington-Altus Private Wealth. The successful candidate will be responsible for supervising the activities of Portfolio Managers, ensuring compliance with regulatory requirements, and maintaining the highest standards of business conduct.
Key Responsibilities:
- Chair the Portfolio Management Committee to review the status of managed accounts.
- Conduct supervision activities, including reviewing trade alerts and reports, account openings, and KYC updates.
- Manage the regulatory obligation of direct supervision over Associate Portfolio Managers.
- Assist in maintaining a Portfolio Management Approval Process to vet internal candidates.
- Support the creation and maintenance of supervision programs for managed accounts.
- 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 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.
- Proficiency in MS Office and excellent communication and interpersonal skills.
Conditions of Employment:
- Must be legally eligible to work in Canada.
- 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.
- A background check may be required prior to commencing employment.
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