Senior Compliance Officer

Portland Investment Counsel Inc.; Burlington; On-site; CAD 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a Senior Compliance Officer to oversee compliance activities across various investment segments. This role involves supervising compliance efforts, training interns, and ensuring adherence to regulations. The ideal candidate will have a strong background in compliance within the securities industry, excellent analytical skills, and a commitment to continuous learning. Join a forward-thinking firm that values diversity and offers a collaborative work environment where your expertise will make a significant impact.

Qualifications

• 5+ years of compliance experience in the securities industry.
• Knowledge of securities legislation relevant to client accounts and funds.

Responsibilities

• Supervise compliance activities of investment funds and managed accounts.
• Assist in writing and reviewing compliance policies and procedures.

Skills

Compliance Monitoring

Analytical Thinking

Teamwork and Cooperation

Relationship Building

Education

Bachelor's Degree

College Diploma

Tools

Excel

Word

Bloomberg

Alpha Desk

Job description

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The Senior Compliance Officer is responsible for supervising and assisting in the compliance activities of Portland’s investment funds, managed accounts, and exempt market dealer business segments under the supervision of the Chief Compliance Officer (CCO). In addition, the Senior Compliance Officer will oversee and train student interns to assist with compliance activities and other ad hoc tasks as required. The Senior Compliance Officer may assist other business units including legal, fund reporting, fund administration, marketing, and portfolio management.

Essential Functions:

1. Assist in the maintenance and monitoring of compliance with Portland’s Compliance Manual and escalate compliance items to the CCO as required.
2. Assist in writing new compliance policies and procedures, testing and reviewing current policies, and keeping Portland’s Compliance Manual up to date for changes in processes and regulations or legislation that impact Portland.
3. Review marketing materials.
4. Assist with offering and constituting documents.
5. Provide advice in connection with routine compliance inquiries from other departments.
6. Oversee student interns’ preparation and review of compliance monitoring of investment management activity, including the monitoring of Portland’s Personal Trading Code and review of standard marketing material.
7. Assist in the hiring process of student interns including interviews, performance reviews, and providing training and oversight of daily activities assigned by the Compliance Department.
8. Update and maintain a compliance calendar of filings and action items, ensuring tasks are completed on time.
9. Prepare and review regulatory filings including NI 24-101, 13F/13H, 45-106F1, simplified prospectus, annual information form, fund facts, financial statements, and MRFPs.
10. Prepare quarterly and annual reports for the Compliance and Risk Committee, Independent Review Committee, and/or boards of directors.
11. Participate in industry forums and meetings, and build relationships with other compliance officers.
12. Participate in special projects, manage projects, and perform other duties as assigned.

Desired Skills and Attributes:

• Achievement Orientation – A concern for working well or surpassing standards of excellence.
• Analytical Thinking – Understanding issues by breaking them into smaller parts.
• Conceptual Thinking – Identifying patterns or connections between seemingly unrelated situations.
• Concern for Order – A drive to reduce uncertainty in the environment.
• Commitment to Continuous Learning – Taking actions to improve professionalism and effectiveness.
• Information Seeking – Driven by curiosity and desire to learn more.
• Teamwork and Cooperation – Working cooperatively with others as part of a team.
• Relationship Building – Building, maintaining, and managing relationships and networks.

Education:

• Bachelor's Degree or College Diploma required.

Work Experience:

• Minimum 5 years of compliance experience in the securities industry.
• Knowledge of securities legislation relevant to client accounts and funds.
• Experience with various investment products, including mutual funds, trusts, limited partnerships, and private securities, is highly desirable.
• Experience with exempt market dealer activities and managed accounts is highly desirable.
• Advanced Excel and Word skills required; familiarity with Bloomberg and Alpha Desk is a plus.

Additional Information:

We thank all applicants in advance; only those selected for an interview will be contacted.

At Portland, we support diversity and equity. We strive to provide an inclusive workplace for all, regardless of ethnic origin, nationality, language, religious beliefs, gender, sexual orientation, age, marital status, family situation, or disabilities. Accommodations are available upon request for candidates participating in the selection process. Please inform us if you require any accommodations.