Manager, Regulatory & Corporate Services

Brompton Funds; Toronto; On-site; CAD 50,000 - 90,000; Full time

Job summary

An established industry player seeks a dedicated Manager for Regulatory & Corporate Services. This role involves overseeing compliance, managing office operations, and supporting staff training. Ideal candidates are detail-oriented self-starters with a passion for organizational excellence. Join a dynamic team that values innovation and collaboration, where your contributions will significantly impact the firm's success. This is a fantastic opportunity to grow in a supportive environment that prioritizes employee development and well-being. If you're ready to take the next step in your career, don't miss out on this chance to shine in a vibrant workplace.

Benefits

Competitive compensation

Year-end bonus opportunities

Group health and dental benefits

Flexible paid vacation

Generous Group RRSP matching plan

Training opportunities

Support for tuition for relevant courses

Qualifications

• 3+ years of experience in an office environment, preferably in investment fund management.
• Familiarity with regulatory compliance and office management tasks.

Responsibilities

• Manage regulatory and compliance calendar, ensuring deadlines are met.
• Provide advanced administrative support and training for staff.

Skills

Attention to detail

Organizational skills

Communication skills

Self-motivated

Team player

Education

University or college degree

Tools

Microsoft Word

Microsoft Excel

Microsoft PowerPoint

Microsoft Teams

SEDAR

SEDI

NRD

Job description

Manager, Regulatory & Corporate Services

3 days ago Be among the first 25 applicants

Direct message the job poster from Brompton Funds

About Brompton: Brompton Funds is a leader in the Canadian closed-end fund (CEF) market and has a unique and growing suite of exchange-traded funds (ETFs), with over $4 billion total assets under management. We offer innovative investment products that provide access to thoughtful investment strategies across a broad range of asset classes. Many of our funds feature high distributions and have paid $4 billion to investors since 2002. Our clients know us for our fairness and integrity, our depth of knowledge in our product area, our commitment to client service and our focus on investment performance. Brompton is a privately-owned Toronto-based team comprised of diverse, passionate and experienced professionals committed to growing the firm together. We encourage staff development, value open communication and share our collective success.

About the Job: We are looking for a manager in our corporate services department. If you are creative, flexible, an enthusiastic self-starter who can work independently, have a strong work ethic with a high level of attention to detail, this would be a great opportunity for you. As a member of the Corporate Services team you will have exposure to the core responsibilities of regulatory and compliance along with exposure to office management, information technology and staff training. With experience, we expect this candidate to also take on more project-oriented work under the supervision of the Senior Vice President, Corporate Services.

What you will do:

Regulatory & Compliance:

• Manage and monitor the regulatory and compliance calendar to ensure that all deadlines are met;
• Prepare and complete all regulatory filings using a variety of platforms including the National Registration Database (NRD), System for Electronic Disclosure by Insiders (SEDI), SEDAR+ and TMX Linx;
• Prepare annual fund documentation for filing;
• Draft board meeting agendas, prepare board packages and draft minutes;
• Coordinate the annual and interim period mailings to investors;
• Monitor the normal course issuer bid process and prepare applications;
• Assist with new issue and treasury offering process including coordination of documentation required for filings and closings;
• Assist in the preparation of all initial prospectus and renewal documentation;
• Coordinate and issue all news releases;
• Coordinate all monthly regulatory reviews and testing;
• Liaise with third party service providers as required;

Office Management, Information Technology and Staff Training:

• Liaise and be the main point of contact for all office management issues (including all repairs and property maintenance requests);
• Assist in the coordination of all office social events;
• Provide advanced administrative and information technology support for all staff;
• Act as a backup to the Senior Vice President & Corporate Secretary and Administrative Assistant during absences;
• Provide new staff training during the onboarding process and provide annual update training to staff on policies and procedures;
• Other duties as assigned.

Your Qualifications:

• University or college degree;
• At least 3 years experience working in an office environment, preferably within the investment fund management business;
• Previous work experience with SEDAR, SEDI, NRD is an asset;
• Previous work experience in a regulatory and compliance environment an asset;
• Previous experience with a Joint Health and Safety Committee is an asset;
• Advanced Word, Excel, Power Point, and Microsoft Teams skills;
• Technical knowledge to aid in supporting staff with computer and program technical requests;
• Extremely attentive to detail;
• Self-motivated, energetic and a highly disciplined team player;
• Superior organizational skills and the ability to multi-task or manage multiple projects and deliver to a tight deadline;
• Excellent oral and written communication skills.

What we offer:

• Competitive compensation including attractive year-end bonus opportunities;
• Group health and dental benefits and insurance at little cost to you;
• Flexible paid vacation and illness days;
• Generous Group RRSP matching plan;
• Training opportunities along with support for tuition for relevant courses;
• A people first firm that values input and ideas from all staff.

Location: Office located in downtown Toronto (Bay Street). In office attendance required.

Salary commensurate with experience.

Accommodations are available upon request for candidates taking part in all aspects of the selection process.

You will only be contacted if you have been selected for an interview.

Seniority level

• Entry level

Employment type

• Full-time

Job function

• Administrative, General Business, and Other

Industries

• Investment Management