Compliance Attorney

Investment Compliance Attorney

We are looking for a key contributor to join our compliance team as a Compliance Manager based in our Montreal office.

Who we are:

We are one of Canada s longest standing feeonly providers of integrated wealth management services to highnetworth families. Since 1979 our team of trusted professionals brings together under one roof tax accounting and financial planning advice at the deepest level investment management and estate planning with family governance services to help successful Canadian families build and preserve their legacies. We are proud to have earned the rank of Trusted Advisor with our clients and to be a leader in the industry.

Who our clients are:

Our experience and technical knowledge make us best suited to service clients with multiple needs holding $2M and more in liquid assets as well as Family Office clients with assets ranging from $20M to $200M.

What we are looking for:

A key professional who will report directly to the CCO and will be responsible for the daily implementation of compliance policies and procedures ensuring that all investment activities align with client investment policies and applicable legislation. The ideal candidate will be adept at navigating the challenges posed by the constantly evolving laws regulations and industry guidelines.

Responsibilities

• Review and update the Investment Management Department s policies procedures and communications and participate in the drafting of various reports including quarterly reports
  
• Supervise the work of the Compliance Associate
  
• Prepare training material and deliver to the IM Team
  

Help identify key performers and monitor them

Perform various compliance and monitor functions related to portfolio management

Audit work performed by the backoffice IM team

Conduct periodic audits of compliance system processes to ensure they are being followed

Assist the IM Team in the interpretation and implementation of regulatory requirements

Capture and analyze new Bills and new regulations to inform the parties concerned of upcoming changes while supporting them in the implementation of these changes

Analyze Investment Counsellors LinkedIn Instagram and other social media to ensure compliance with our Social Media Policy.

Competencies

• Strong organizational skills autonomous and detailed oriented
  
• Strong relationship management skills
  
• Excellent communication skills (written and verbal) in both English and French
  
• Selfstarter and team player able to work independently and collaboratively with various teams in a deadlinefocused environment
  

Ability to be proactive and communicate change in a fastpaced industry

Passion and knowledge about legislation regarding ethics integrity and the fight against corruption

Interest in continual learning and selfdevelopment

Education and Experience

Good standing of the Quebec Bar or the bar of another Canadian province; or any other appropriate training.

Canadian Securities Course (CSC)

A minimum of 5 years of relevant experience in Compliance at an AMF regulated portfolio manager

Proficient with NDEX an asset

Proficient with Microsoft Office Suite

Staff management of 2 or more employees

Bilingual (English/French) ability to communicate well in English is required due to the employee communication needs across Canada.

Remuneration

$125000$150000 base salary bonus/profit share

Full Health and RRSP program

Wellness/Vacation/Personal Time Off policies

Hybrid work environment