Director-PM Compliance
Core
Lead the second-line compliance program for BMO Private Investment Counsel Inc. (BPIC), a registered Portfolio Manager, Investment Fund Manager, and Exempt Market Dealer, ensuring adherence to Canadian securities laws and regulatory requirements.
Role type
Senior IC Compliance Director / People Manager
Builds
Compliance framework, risk assessment, monitoring, and reporting systems for investment management and fund governance.
Domain
Financial Services / Securities Regulation / Investment Management
Required skills
Canadian securities regulation expertise (NI 31-103, NI 81-102, NI 81-106, NI 81-107), investment fund governance, conflict of interest management, regulatory examination oversight, team leadership, strategic advisory to senior management
Preferred skills
Experience as an Approved Person under CSA or CIRO rules, prior regulator experience, Independent Review Committee interaction
Technologies
Compliance management systems, regulatory reporting tools
Responsibilities
Oversee compliance with regulatory requirements for investment fund management; lead the second-line compliance program; assess adequacy of compliance policies and controls; advise senior management on regulatory risks; lead and manage the compliance team; provide regular reporting to the Board on compliance matters.
Seniority
Senior, hands-on IC with people management responsibilities