Compliance Officer – Responsable, conformité

BJRC Recruiting; Montreal; On-site; CAD 70,000 - 90,000; Full time

Job summary

An independent asset management firm located in Montreal is seeking a Compliance Associate. The role involves supporting the administration of compliance functions, managing documentation, and collaborating with various teams. The ideal candidate will have a Bachelor's degree in a related field and 3-5 years of compliance experience in the financial sector. Strong analytical and organizational skills are required. The position is full-time and based in Montreal, contributing to a strong compliance culture.

Qualifications

• 3–5 years of compliance experience within an Investment Fund Manager, Portfolio Manager, and/or Exempt Market Dealer.
• Exposure to regulatory examinations and audits.
• Canadian Securities Course and/or Conduct and Practices Handbook considered an asset.

Responsibilities

• Support the day-to-day administration of the compliance function.
• Maintain client documentation including KYC forms and investment management agreements.
• Collaborate with portfolio management, operations, and finance teams to support compliance activities.

Skills

Analytical skills

Organizational skills

Communication skills

Ability to manage multiple priorities

Education

Bachelor’s degree in Finance, Business, Law, or a related field

Job description

REF #1495

Our Client

Is an independent asset management firm headquartered in Montreal, specializing in traditional and alternative investment strategies.

Responsibilities

• Support the day-to-day administration of the compliance function
• Assist with daily, monthly, quarterly, and annual compliance monitoring, testing, and documentation
• Support client onboarding and review subscription agreements and KYC documentation
• Maintain client documentation including KYC forms, investment management agreements, and related records
• Assist with initial and ongoing due diligence of third‑party service providers
• Maintain and update compliance policies, procedures, and manuals
• Maintain compliance logs (personal trading, outside business activities, conflicts of interest, etc.)
• Support registration obligations and ongoing regulatory reporting
• Participate in internal audits and external regulatory examinations
• Contribute to compliance training initiatives and promote a strong culture of compliance
• Collaborate with portfolio management, operations, and finance teams to support compliance activities
• Assist with Business Continuity Plan (BCP) planning and testing
• Support special projects as assigned

Qualifications

• Bachelor’s degree in Finance, Business, Law, or a related field
• 3–5 years of compliance experience within an Investment Fund Manager (IFM), Portfolio Manager (PM), and/or Exempt Market Dealer (EMD)
• Exposure to regulatory examinations and audits
• Strong analytical, organizational, and communication skills
• Ability to work effectively in a lean, collaborative environment
• Ability to manage multiple priorities and meet deadlines
• Canadian Securities Course (CSC) and/or Conduct and Practices Handbook (CPH) considered an asset
• Based in Montreal

Seniority level

• Associate

Employment type

• Full-time

Job function

• Legal
• Industries: Staffing and Recruiting and Legal Services