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Senior Manager, Compliance
1 month ago
Our client, operating in the financial services sector is recognized among financial organizations that is ranked highest by its customers in terms of reputation and loyalty.
Reporting to the Vice President, Legal Affairs and Chief Compliance Officer, the Senior Manager, Compliance is responsible for developing and updating compliance policies and procedures and monitoring the operations of a mutual fund dealer/financial planning firm registered with the Autorité des Marchés financiers (AMF).
He/she contributes to maintaining a rigorous compliance structure to ensure compliance with securities regulations, as well as the rules issued by self-regulatory organizations. The Senior Manager will have to develop tools that allow for continuous monitoring of SIF operations. He/she supports the Vice President in the department's activities and ensures her replacement as needed.
YOUR RESPONSIBILITIES
- Manage and lead strategic projects with Senior Management and SME's and contribute to their success;
- Monitor operations and take charge of cases of non-compliance with prescribed policies and procedures, ensuring their follow-up and resolution in an appropriate manner;
- Ensure responsibility for the audit process of representatives;
- Supervise, coach and motivate a team of compliance analysts;
- Develop and update the main compliance policies and procedures of the mutual fund dealer (Policies and Procedures Manual and Anti-Money Laundering Program), and of the financial planning firm;
- Ensure that the compliance rules integrated into the record-keeping system are up to date with regulations;
- Ensure responsibility for handling complaints;
- Identify areas for improvement in compliance processes and propose solutions to the Vice-President;
- Supervise the review and approval of advertising and marketing materials, including the corporate website;
- Monitor the continuing education program for employees to comply with regulatory requirements;
- Stay abreast of changes and best practices in the regulatory field and update policies and procedures accordingly;
- Train and support internal stakeholders in compliance, regulatory changes and inform them as well as senior management of new policies and procedures.
- Stay abreast of changes and best practices in the regulatory field and update policies and procedures accordingly;
- Monitor the continuing education program for employees to comply with regulatory requirements;
- Supervise the review and approval of advertising and marketing materials, including the corporate website;
- Identify areas for improvement in compliance processes and propose solutions to the Vice-President;
- Ensure responsibility for handling complaints;
- Ensure that the compliance rules integrated into the record-keeping system are up to date with regulations;
- Develop and update the main compliance policies and procedures of the mutual fund dealer (Policies and Procedures Manual and Anti-Money Laundering Program), and of the financial planning firm;
- Supervise, coach and motivate a team of compliance analysts;
- Ensure responsibility for the audit process of representatives;
- Monitor operations and take charge of cases of non-compliance with prescribed policies and procedures, ensuring their follow-up and resolution in an appropriate manner;
YOUR EXPERIENCE AND PROFILE
- Bachelor's degree in law, finance or other relevant field and an appropriate professional title or designation (lawyer, CFA, CPA) or equivalent experience;
- Minimum of 12 years of experience in the financial services sector, including an assignment of at least 6 years in a compliance management position;
- Minimum of 3 years experience in team management;
- Has n-depth knowledge of the regulatory context of securities brokerage, particularly in mutual funds, as well as the laws and regulations relating to the distribution of financial products and services;
- Meets the requirements for registration as Chief Compliance Officer or is willing to complete the necessary requirements;
- Has an excellent understanding of the operating process of a mutual fund brokerage firm combined with a good knowledge of transactional processes, both from a front office and back office perspective;
- Knowledge of compliance surveillance and tracking systems and the Microsoft Office Suite;
- Has a good network of established contacts in the field to help develop processes comparable to industry best practices;
- Good analytical skills and a good ability to summarize;
- Demonstrates rigor and good business judgment and maintains good relationships with colleagues;
- Autonomous and has a great ability to plan and organize;
- Able to express himself easily in French and English (verbally and in writing) in order to serve our Quebec clients who can speak in both languages;
- Autonomous and has a great ability to plan and organize;
- Demonstrates rigor and good business judgment and maintains good relationships with colleagues;
- Good analytical skills and a good ability to summarize;
- Has a good network of established contacts in the field to help develop processes comparable to industry best practices;
- Knowledge of compliance surveillance and tracking systems and the Microsoft Office Suite;
- Has an excellent understanding of the operating process of a mutual fund brokerage firm combined with a good knowledge of transactional processes, both from a front office and back office perspective;
- Meets the requirements for registration as Chief Compliance Officer or is willing to complete the necessary requirements;
- Has n-depth knowledge of the regulatory context of securities brokerage, particularly in mutual funds, as well as the laws and regulations relating to the distribution of financial products and services;
- Minimum of 3 years experience in team management;
- Minimum of 12 years of experience in the financial services sector, including an assignment of at least 6 years in a compliance management position;
