Compliance & Operations Executive

3 weeks ago

Toronto, Canada Bridgeport Asset Management Inc. Full time

Conveniently located in Toronto, Bridgeport Asset Management is a successful and growing investment counselling firm which manages discretionary investment portfolios on behalf of private clients and various third-party allocators of capital. As a Portfolio Manager and Investment Fund Manager, we manage a range of focused, publicly traded and alternative investment portfolios on both a separate account and pooled fund basis using a disciplined, research-intensive investing style.


We offer employees an entrepreneurial environment along with competitive compensation and benefits and opportunities to multi-task, learn and contribute to the firm’s success.


Overview of Role


As a compliance and operations executive at Bridgeport, you will be an important member of our team with overall responsibility for all aspects of our firm’s compliance function as well as significant involvement with various areas of our operations.


You are a motivated, diligent, well-organized, detail-oriented professional who enjoys problem solving and collaborating with fellow team members.


Key Responsibilities


You will lead all aspects of our compliance program to ensure adherence to provincial securities regulations and anti-money laundering rules. Areas of compliance focus will include portfolio management and trading, investment fund management, dealing with clients, marketing sales practices, business conduct and recordkeeping.  


In addition to your compliance responsibilities, you will participate in and manage operational activities related to investments, client management, marketing and information technology.

 

Profile of Ideal Candidate


You possess a university degree, ideally with a focus on finance and/or accounting, along with relevant investment industry designations such as a CFA.  To fulfill the requirements of this position, we expect you to either already have the appropriate credentials to become a registered Chief Compliance Officer (or have the ability to obtain such credentials in the next 6 to 12 months).


Extensive industry experience in private client wealth management or asset management is required for this role.


You enjoy working in an entrepreneurial environment and are a high energy, self-motivated, enthusiastic and a collaborative team player, who is willing to roll up their sleeves and grow as we continue to expand.


Please note that we will only contact those candidates who are selected for an interview.  

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