Senior Manager, Compliance
Core
Architecting and strengthening the compliance framework for Portfolio Management operations, acting as a strategic advisor and technical expert on Canadian securities regulations.
Role type
Senior Manager, Compliance (Strategic IC)
Builds
Robust compliance policies, registrant training programs, and regulatory reporting mechanisms for Portfolio Managers.
Domain
Canadian Asset Management / Investment Management
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Expert knowledge of NI 31-103, AML/ATF (FINTRAC) requirements, strategic advisory, policy development, trade surveillance oversight, regulatory examination management, team mentorship, conflict of interest analysis.
Preferred skills
CFA, CAMS, CSC, Master's degree.
Technologies
NI 31-103, FINTRAC, STR filings, KYC/CDD systems.
Responsibilities
Act as primary Subject Matter Expert on Canadian securities regulations; Lead development and enhancement of compliance policies; Manage registrant obligations and life-cycle under NI 31-103; Partner on AML/ATF excellence (STR filings, KYC/CDD); Oversee trade surveillance, fair allocation, and best execution; Lead regulatory examinations and liaison with FINTRAC; Mentor compliance talent and deliver registrant training programs.
Seniority
Senior Manager, strategic advisor & mentor