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Vice President, Compliance, Investment Fund Manager

Location Toronto
Job Type Full Time
Description

JOB OVERVIEW

Our client, one of Canada's largest fund managers, is seeking an effective team leader to join its compliance team in Toronto. In this senior role, the successful candidate will oversee the regulatory compliance program within the sales practices and marketing space of our clients investment fund manager registration. The new Vice President, Compliance, Investment Fund Manager will report directly to the organization's Chief Compliance Officer.

RESPONSIBILITIES

  • Oversee a team of compliance professionals whose focus is on the sales practices and marketing side of the investment fund manager registration of our client
  • Encourage personal growth and knowledge within the team
  • Oversee sales practices and marketing materials for adherence to applicable policies and regulations.
  • Work with the business units to review, update or create policies and processes for new compliance initiatives and controls, ensuring applicable securities laws and National Instrument rules are adhered to.
  • Update, create and maintain policies to reflect new or changing regulatory/industry standards or corporate developments.
  • Oversee and assist with the training of business units on the updated/new policies.
  • Coordinate directly with wide range of stakeholders across the organization to resolve issues, as required.
  • Develop, implement, and maintain testing/assurance and oversight processes to support the Compliance Program and Reporting.
  • Participates in special projects, as needed.

IDEAL BACKGROUND

  • Post-secondary education plus Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH) or other industry related designations
  • Professional designation an asset
  • Minimum of 15 years of relevant industry experience in a senior compliance capacity at an investment management firm
  • In depth knowledge of the financial industry including investment fund regulations and applicable National Instruments
  • Strong communication skills, verbal and written
  • Superior and versatile analytical skills, capable of advising across a range of compliance matters
  • Strong MS Office skills, experience with MS Excel a must
  • Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment
 

Please send your resume to Lisa Newey.

Submitting a Resume

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Please note that during the recruitment process, where needed, accommodation for disabilities are available upon request.

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