Salary CAD115,000 - CAD160,000 per year
Location Toronto, OntarioFULL_TIME
Consultant Brady Jones
Date posted August 20, 2018 2018-08-202018-10-16 financial-services First Canadian Place - 100 King St W, Suite 5600 Toronto, Ontario M6J 2X4 Robert Walters Canada
This is an exciting opportunity to take the lead in a new position as the Compliance Manager, which is being created at a Toronto based, publicly listed, multi-national corporation. The Compliance Manager will report directly to the corporation’s General Counsel and will take the lead in overseeing all aspects of an investment advisory compliance program.
- Policy and Procedures implementation;
- Compliance oversight and training;
- Responding to regulatory inquiries and examinations (Canada and US);
- Supervising the corporation’s annual review policies and procedures and completing the necessary written reports;
- Monitoring and maintaining regulatory registrations and authorizations;
- Development and implementation of procedures/policies to prevent securities violations;
- Implementing compliance training programs;
- Participation in committee meetings and keeping management team up-to-date; and
- Liaising with investment professionals and applicable departments to resolve ongoing and/or pending compliance matters.
- Compliance experience with the Investment Advisers Act of 1940 (U.S.) and knowledge of the Investment Company Act of 1940;
- Leadership abilities; ability to manage staff and interact with senior management both in Canada and the U.S.;
- Experience with private equity and/or real estate financing would be beneficial;
- JD or LLB is a plus but not a requirement;
- Proven ability to identify, solve and prevent regulatory issues;
- Detail oriented and well organized;
- Ability to multi-task in a dynamic environment; and
- Excellent oral and written communication skills are essential, as are strong interpersonal skills.
For further information, please submit your resume and contact Martin Fox at martin.fox@RobertWalters.com (phone: 416-644 8310); or Brady Jones at brady.jones@RobertWalters.com (phone: 416-640 7120).