Compliance Officer

1 week ago

Québec, Canada Nalmont Capital Full time

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: - 3-5 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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