Compliance Officer
1 week ago
Who We Are
Nalmont is an independent investment management firm dedicated to delivering both traditional and alternative investment strategies as well as advanced portfolio solutions. The Firm leverages extensive expertise in quantitative portfolio management, liquid alternative strategies, financial derivatives, and structured products to provide sophisticated, flexible, and capital-efficient investment options for a broad range of institutional investors and financial intermediaries.
Career opportunity:
We currently have a career opportunity for a
Compliance Officer
reporting to the Chief Compliance Officer. This role will be based out of
Montreal, QC
. The Compliance Officer role contributes to the overall day-to-day administration of the compliance department and promotes a culture of compliance throughout the firm. In addition to this, the candidate will support the investment operations department for certain non-compliance related activities. We are looking for a highly motivated, dynamic candidate who enjoys working with a small team, has a passion for providing high quality customer service and is eager to expand their career in compliance.
Responsibilities:
Assist with daily, monthly, quarterly and annual compliance oversight
Assist with initial and ongoing due diligence of third-party service providers
Reviewing subscription agreements and client onboarding documentation
Maintenance of client documentation as necessary, including the Know Your Client Form, Investment Management Agreement and Investment Policy Statement
Coding, monitoring, and escalating pre-trade and post-trade compliance rules
Assist with ongoing maintenance and updates to the Policies & Procedures Manual
Maintaining various compliance logs
Assist with ongoing oversight of outside activities
Social media oversight
Participate in internal audits as well as external regulatory audits
Assist with maintaining and delivering training materials
Personal trading reviews
Supporting all staff and multiple teams, including portfolio managers, operations and finance
Monthly UN reporting
Assist with the planning and testing initiatives for the firm's Business Continuity Plan (BCP)
Assist with registration submissions; and
Special projects as assigned
Qualifications:
years of experience in a compliance role for an institutional asset manager holding Investment Fund Manager (IFM), Portfolio Manager (PM) and/or Exempt Market Dealer (EMD) registrations.
Bachelor's degree in Finance, Business, Law or another relevant degree
Familiarity with institutional asset management operations and related concepts
Experience with LiquidityBook, FactSet, Bloomberg, or other portfolio management and compliance systems.
Technologically fluent
Strong communication skills and must be able to effectively communicate with different levels of staff including portfolio managers and senior leadership
Must be an effective listener and have a collaborative team-work approach with the ability to prioritize, performing multiple tasks meeting deadlines
Strong analytical skills
Proficiency with MS Office applications
Completion of the Canadian Securities Course an asset
Completion of the Conduct and Practices Handbook an asset
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