Managed Account Supervisor
Core
Ensure regulatory and firm compliance for managed accounts by conducting portfolio reviews, approving client forms, and overseeing trade suitability.
Role type
Senior IC compliance supervisor (investment management)
Builds
Compliance oversight for managed accounts and pooled funds
Domain
Financial services / Investment management / Regulatory compliance
Deliverable
client delivery
Required skills
CIRO registration, Canadian Investment Regulatory Exam (CIRE), Retail Securities Exam, Supervisor Exam, knowledge of CIRO and CSA rules, analytical thinking, judgment, discretion
Preferred skills
Options licensing, CIRO Derivatives exam, CIM Designation, CFA Charter, bilingualism (English/French)
Technologies
Microsoft Office Suite (Outlook, Word, Excel, PowerPoint, OneNote)
Responsibilities
Conduct quarterly portfolio reviews for managed accounts to ensure regulatory compliance; Review and approve New Client Account Forms, KYC updates, and Investment Policy Statements; Perform quarterly pooled fund trade reviews; Provide guidance to Portfolio Managers on compliance requirements; Address and de-escalate compliance-related issues raised by business partners; Stay current on regulatory developments and internal policies.
Seniority
Senior, hands-on IC