Compliance Officer

2 weeks ago

Westmount, Canada Nalmont Capital Full time

Get AI-powered advice on this job and more exclusive features. 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 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 Seniority level Mid-Senior level Employment type Full-time Job function Legal Referrals increase your chances of interviewing at Nalmont Capital by 2x Get notified about new Compliance Officer jobs in Westmount, Quebec, Canada . #J-18808-Ljbffr

  • Compliance Officer

    2 weeks ago

    Westmount, Canada Nalmont Capital Full time

    Get AI-powered advice on this job and more exclusive features. 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...

  • Compliance Officer

    2 weeks ago

    Westmount, 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...

  • Compliance Officer

    2 weeks ago

    Westmount, 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...

  • Compliance Officer

    2 weeks ago

    Westmount, Canada Nalmont Capital Full time

    Who We AreNalmont 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...

  • Compliance Officer

    2 weeks ago

    Westmount, QC, 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...

  • Montreal Compliance Officer — Asset Management

    2 weeks ago

    Westmount, Canada Nalmont Capital Full time

    An independent investment management firm in Montreal is seeking a Compliance Officer to contribute to the compliance department and promote a culture of compliance. The ideal candidate will have 3-5 years of experience in a compliance role within institutional asset management, a relevant degree, and proficiency with compliance tools. The position offers a...

  • Montreal Compliance Officer — Asset Management

    2 weeks ago

    Westmount, Canada Nalmont Capital Full time

    An independent investment management firm in Montreal is seeking a Compliance Officer to contribute to the compliance department and promote a culture of compliance. The ideal candidate will have 3-5 years of experience in a compliance role within institutional asset management, a relevant degree, and proficiency with compliance tools. The position offers a...

  • Office Assistant

    6 days ago

    Westmount, Canada Cosmetic Physician Partners, LLC. Full time

    CPP is building the premier network of physician-led medical aesthetic clinics in the US. By supporting our clinics with a world-class leadership team, market-leading support services, and an iconic brand experience, we deliver "remarkable" results that improve the lives of our clients and team members. **POSITION**:Office Administrator (Full-time)...

  • Project Controls Officer

    4 days ago

    Westmount, Canada Peoples Group Full time

    **About us**: Peoples Group is a boutique Financial Institution with offices located in Vancouver, Calgary, Toronto and Montreal that has been in the Canadian marketplace for over 30 years. Our mission is to exceed our customers' expectations by providing exceptional customer service backed by extensive product knowledge and experience. Our culture here at...

  • Chief Technology and Innovation Officer

    4 days ago

    Westmount, Canada Crowe BGK Full time

    We are currently looking for a **Chief Technology and Innovation Officer** to join our team in Montreal. Join a dynamic, fast-growing firm offering competitive salaries, benefits, and a strong focus on employee well-being. **What’s in it for you**: - Hybrid work formula - Competitive salary - Full range of benefits - 4 weeks paid vacation - 8 paid...