Investment Compliance, Specialist

Our employees are at the heart of everything we do. Together, we help people, businesses, and society prosper in good times and be resilient in bad times.

Our employee promise represents Intact's commitment to you in exchange for living our Values, striving to do your best work, being open to change and investing in your career. In return, we promise to provide support, opportunities and performance-led financial rewards at a workplace where you can shape the future, win as a team and grow with us.

Pay at Intact is about much more than just salary.

• Flexible work arrangements and a hybrid work model

• Possibility to purchase up to 5 extra days off per year

• Multiple benefits offered to support physical and mental wellbeing, including telemedicine, Wellness account and much more

• Share plan & other savings: up to 12% of salary or even more (ask how you could earn guaranteed income for life)

Salary range (but not limited to):

Annual bonus target, based on the base salary, with a potential payout of up to double the target (subject to personal and company performance):

As part of our commitment to Win As A Team, we share our success with employees through our annual bonus plan and Employee Share Purchase Plan (ESPP) – with Intact matching 50% of your net shares.

Our pension offerings provide flexibility and long-term security for our employees beyond their careers. We are one of the few companies offering the opportunity to receive guaranteed income for life via our defined benefit pension plan.

Salary for the candidate will be determined taking into consideration a number of factors including: experience, skills, qualifications, anticipated contribution to role, internal equity, etc. The salary range presented above is based on a 35-hour workweek and would represent a majority of different candidate profiles. However, we encourage candidates who may fall outside of this range to apply as well.

About the role

Who we are:

Intact Investment Management Inc. is a wholly owned subsidiary of Intact Financial Corporation and a registered portfolio manager with the securities authorities in Canada. Based in Montreal and Saint-Hyacinthe, our growing team of multidisciplinary experts manage over $30 billion in assets for institutional investors, including the assets and pension funds of Intact Financial Corporation and its subsidiaries.

About the role:

Under the supervision of the Chief Compliance Officer & Director of Governance, this role serves as a subject matter expert overseeing investment compliance and actively collaborates in the systematic monitoring of activities within the Intact Investment Management Inc. (IIM) business unit. This role ensures adherence to regulatory requirements, client guidelines, and internal policies. The Investment Compliance Specialist partners closely with Portfolio Management, Trading, Risk Management, Investment Operations, Data Management, Legal and Information Technology to drive best-in-class controls, surveillance, and reporting.

What you will do here:

Compliance Monitoring and Surveillance

• Design, implement, and optimize pre-trade and post-trade rules within compliance systems (e.g., Charles River) and other tools.

• Perform daily monitoring of portfolios against client investment guidelines, regulatory constraints, and firm policies; investigate and resolve breaches promptly.

• Conduct look-through and concentration analyses across complex instruments (derivatives, structured products, fixed income, equities, alternatives).

• Maintain robust exception management processes; perform root-cause analyses and work with stakeholders to implement remediation and prevention measures.

Regulatory and Client Guideline Management

• Interpret, translate, and codify client investment policies/mandates and other relevant applicable regulatory requirements (e.g. N.I into testable rules.

• Keep abreast of regulatory developments; assess impact, update controls, and lead implementation projects.

• Partner with Legal, Risk Management, Trading, Data Management, Investment Operations, and Investment Management to ensure clear operationalization in systems and procedures.

Governance, Reporting, and Audit

• Prepare and present compliance reports, metrics, breach trends, and risk assessments to senior management committees when required.

• Support internal/external audits and regulatory examinations; maintain evidence, narratives, and control documentation.

• Prepare periodic certifications, attestations, regulatory reporting, and client reporting related to compliance oversight.

Data, Technology, and Process Improvement

• Collaborate with technology teams to enhance data quality, rule logic, and automation; lead UAT for system upgrades and new controls.

• Develop analytics and dashboards to improve surveillance effectiveness and timeliness.

• Document procedures and control frameworks; drive continuous improvement initiatives and operational excellence.

• Actively participate in overseeing and monitoring the service-level of business partners (e.g. Charles River)

Stakeholder Partnership and Issue Resolution

• Act as a trusted advisor to Portfolio Managers and Traders; provide guidance on guideline interpretation and compliance implications.

• Coordinate with Investment Operations, Data Management, Risk Management, and Performance teams on reconciliations, pricing/valuation data, and instrument reference data to mitigate compliance risk.

• Lead cross-functional incident reviews and action plans for high-impact breaches.

Additional responsibilities

• Participate in coordination of the proxy voting process with service provider and investment management teams.

• Participate in coordination of class actions' processes with service provider and other internal stakeholders.

What you bring to the table:

• Education:

  • University degree in finance, business administration, accounting, economics or a related field, or a combination of relevant experience and education.

  • Professional designation (CPA, CFA, CAIA, FRM, PRM) preferred.

• Experience: Minimum 10-years experience in investment compliance/auditing/investment operations or investment management.

• Technical & Knowledge:

  • Advanced knowledge and hands-on expertise of investment portfolio monitoring systems Charles River, Bloomberg (or similar).

  • Advanced proficiency with Microsoft tools (Excel, Word, Power Point, Outlook, Teams) – is required.

  • Strong quantitative and analytical abilities; comfort working with complex instruments and large datasets.

  • Knowledge of the financial market and regulations applying to portfolio managers registered with securities authorities – is required.

  • Knowledge of investments and derivatives

  • Knowledge of investment management company processes

• Communication: Excellent written and verbal communication; ability to articulate complex regulatory concepts to non-technical stakeholders.

• Judgment & Integrity: Strong control mindset, attention to detail, and ability to make balanced, risk-based decisions under time pressure.

• Competencies:

  • Detail orientation and accountability

  • Problem solving and root-cause analysis

  • Stakeholder management and influence

  • Process design and documentation

  • Adaptability to regulatory and business change

  • Project management and prioritization

• You enjoy collaborating with colleagues and partners (team spirit).

• You share our values of integrity, respect, commitment to the client, excellence and generosity.

• For candidates located in Quebec, bilingualism is required considering the necessity to interact on a regular basis with English-speaking colleagues and clients outside the province of Quebec.

#LI-Hybrid

We are an equal opportunity employer

At Intact, our Value of respect is founded on seeing diversity as a strength. We strive to create an accessible workplace where employees feel valued, included and encouraged to share their unique perspectives.

We encourage applications from individuals who are members of equity-deserving groups, including but not limited to women, Indigenous peoples, persons with disabilities, Black people, and members of the 2SLGBTQI+ community.

As part of Intact's commitment to reconciliation, we acknowledge that we work, meet and travel across the land currently called Canada, originally inhabited by First Nations, Metis and Inuit people. This history extends through many centuries and continues to evolve today.

We have policies to ensure equal access and participation for people with disabilities, including providing workplace adjustments (accommodations). A copy of applicable policies is available on request.

If we can provide a specific adjustment to make the recruitment process more accessible for you, please let us know when we reach out about a job opportunity. We'll work with you to meet your needs.

Learn more about our recruitment process and your candidate journey here.

Please note that Intact does not provide sponsorship or other support for immigration-related matters including but not limited to employer-specific closed work permits. Candidates must be eligible to work in Canada from the anticipated start date and throughout their employment and are solely responsible for maintaining their work eligibility.

If you are an employee of Intact or belairdirect, please apply for this role on Internal Career Site.