Fund Compliance Manager — Finance
With your background, skills and experience you’ve already found success in the wealth management industry. Have you found your ideal firm, one that encourages you to pursue a balanced lifestyle as well as professional success?
Our Finance team is currently growing! We’re seeking a Fund Compliance Manager – someone who is an experienced individual with demonstrated leadership skills. The ideal candidate for this role supports the CFO & CCO in assessing and monitoring compliance standards by the organization and its employees, abiding by related regulatory requirements and applicable securities legislation. The primary areas of compliance may include, but are not limited to, the Investment Fund Manager and Advisor (Portfolio Manager) for the Counsel Mutual Funds.
WE WANT YOU TO JOIN OUR TEAM OF WINNERS!
At Investment Planning Counsel we’ve designed every aspect of the Fund Compliance Manager role with you in mind.
What is the role of the Fund Compliance Manager?
- Ensuring that the compliance programs meet or exceed all applicable regulatory requirements.
- Partner with business, operations and legal colleagues to administer mutual fund compliance responsibilities and advise on regulatory risks and compliance.
- Collaborate with IGM Financial Inc. (Mackenzie, Investors Group, and Investment Planning Counsel) to harmonize and adopt best practices to related policies and procedures.
- Collaborate with Compliance team members to proactively identify areas of opportunity for improvement to compliance programs including to policies and procedures, monitoring, testing, reporting, and training. Lead implementation through to completion.
- Be a knowledge expert for the areas of compliance under scope and keep up to date with developments.
- Provide ongoing and proactive guidance to business partners which may include addressing inquiries with no precedent requiring creativity and business judgement.
- Manage responses to audits and assist in responses to regulators.
- Assist the compliance team in completing team priorities/projects.
- Assist in other duties as assigned.
What traits and competencies should a Fund Compliance Manager possess?
- Detail oriented, with exceptional analytical and problem-solving skills
- Ability to work independently to proactively bring projects to completion
- Ability to communicate effectively to individuals at all levels within the organization, as well as external legal counsel, auditors, regulators, and industry counterparts
- Ability to assess risk and conduct compliance monitoring to ensure the effectiveness of compliance procedures
What are the preferred qualifications for a Fund Compliance Manager?
- Minimum eight years of experience within the financial services industry with at least four years in a compliance capacity preferably at a fund/asset management company
- University degree in Business or a related discipline
- Working knowledge of National Instrument (NI) 31-103, 81-101, 81-102, 81-102, 81-105, 81-106, 81-107, The Ontario Securities Act
- Knowledge of securities (including derivatives) and mutual fund products, industry
What is #lifeatIPC?
- Awesome support in providing industry-leading training to help you succeed in your role
- Awesome community involvement opportunities through IPC Cares
- Awesome perks: benefits that fit your needs, pension, share purchase plan, corporate discount plans, social events, summer hours, and fun
- Awesome recognition: kudos, all-star program, rising star, and the circle of excellence
- Awesome Leadership teams that know your name