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Compliance Manager

3 weeks ago

Montréal, Canada Huntrex Full time

Position Type: Full-Time

About the client:
Our client is a Montreal-based investment management firm offering investment solutions for a growing client base of high-net-worth individuals and institutions. We are looking to hire a Compliance Manager for our team, who will work closely with the Investment Team and CFO.

Position Overview:

- Conduct pre-trade approval for all trades related to the company clients and trading partners
- Monitor positions against investment parameters/restrictions daily
- Monitor employee trading
- Monitor the account opening process
- Establish and document compliance processes and procedures
- Train staff on compliance-related processes and procedures
- Report all compliance matters to the CCO
- Manage registrations of new advisors and changes to their registration information
- Manage review and reporting of Outside Activities
- Participate in the implementation of regulatory changes
- Ensure KYP and KYC information is maintained and monitored
- AML reporting
- Reconciliation of trades
- Undergraduate degree in Finance or relevant field
- Detail-oriented with the ability to multitask and problem-solve
- Relevant compliance work experience within the wealth management industry (considered an asset)
- Bilingual English/French
- Proficient in Microsoft Word, Excel, and Outlook
- VBA experience (considered an asset)
- Canadian Securities Course (considered an asset)

Experience: 2-3 years of relevant experience (preferred)

Start Date: As soon as possible

**Salary**: To be discussed

Work model: Hybrid office and from home

**Job Type**: Permanent

**Salary**: $60,000.00-$70,000.00 per year

**Benefits**:

- Flexible schedule
- Flextime

Schedule:

- 8 hour shift

Supplemental pay types:

- Bonus pay

Ability to commute/relocate:

- Montréal, QC H3A3L4: reliably commute or plan to relocate before starting work (required)

**Experience**:

- compliance: 2 years (preferred)
- Microsoft Excel: 2 years (preferred)