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Compliance Manager

2 days ago

Montreal, Quebec, Canada Sectoral Asset Management Full time

Company Description

Founded in 2000, Sectoral Asset Management Inc. specializes in managing global investment portfolios in the healthcare sector. Known for its deep expertise, the firm focuses on primary research with a commitment to achieving exceptional returns for its investors. Headquartered in Montreal, QC, the company is 100% employee-owned, reflecting a culture of dedication and shared responsibility. Sectoral's investment experts are highly qualified, holding CFA certifications and advanced degrees in business and sciences, with over a decade of experience managing healthcare portfolios. Offering strategies in biotech, healthcare, and emerging markets, Sectoral's approach blends research-driven insights with a focus on long-term growth.

Role Description

The Compliance Manager is responsible for keeping up-to-date and applying compliance policies and procedures under the North American regulatory authorities (AMF (Quebec), SEC) as well as the SFC in Hong Kong.

Working directly with the Chief Compliance Officer and CEO, he/she will be responsible to keep a thorough knowledge and understanding of the regulations; evaluate the risk applicable to the group; update and implement compliance policies and procedures; and maintain registration and regulatory filings.

The incumbent enjoys working in a small, fast-paced, hands-on, detailed-oriented entrepreneurial environment, where his/her efforts are recognized and rewarded over time.

This is a part-time role, on-site three days per week.

Role-Specific Responsibilities

  • General oversight of all compliance matters as it relates to North American regulatory authorities, such as AMF (Quebec) and SEC, as well as Foreign Authorities where the Group is registered (SFC in Hong Kong);
  • Respond to regulatory inquiries and audits;
  • Remain current with developments in applicable securities laws and AML legislation, including awareness of changes in regulations to proactively position the firm for changes and/or new developments;
  • Development and streamlining of Sectoral's written compliance controls, policies and procedures;
  • Provide training to Sectoral Group regarding new products or services, changes in policies and regulatory requirements;
  • Prepare materials for the compliance meeting, take meeting minutes and supervise follow-ups of compliance activities
  • Review and approve advertising material
  • Complete ad hoc, monthly, quarterly and annual filings with the various authorities including, but not limited to , AMF , OSC, SEC, FINRA, etc.; maintain current NRD and SEC registrations; assist with preparing SFC annual reports
  • Assist CCO with preparing the Annual Report to the Board of Directors regarding Compliance activities
  • Participate to various projects as needed

Qualifications

  • Bachelor's degree in accounting, law or other pertinent
  • Relevant compliance experience
  • Strong command of MS Office suite
  • Solid oral and written communication skills in English, and functional French
  • Strong analytical skills and great attention to detail
  • A focused team player, with a strong sense of service and drive