Senior Manager, Compliance

Natural Factors; Toronto; Hybrid; CAD 100,000 - 130,000; Full time

Job summary

A leading company in Toronto is seeking a Senior Manager for their Compliance team. This role involves managing compliance policies, overseeing training programs, and collaborating with various stakeholders. Ideal candidates will have extensive experience in the financial sector, particularly in compliance and operational risk. The position offers a hybrid work model and opportunities for professional growth.

Qualifications

• 6+ years in financial or insurance industry, 4+ years in Compliance or Operational Risk.
• Proven experience in writing and revising complex policies.

Responsibilities

• Manage all aspects of IMCO’s policies and guidelines.
• Lead compliance training program and prepare reports for the Board.
• Act as key compliance contact for client-related matters.

Skills

Attention to Detail

Interpersonal Skills

Proactivity

Education

University Degree in Business, Finance, or Communications

Tools

Excel

PowerPoint

Word

Power BI

ConvergePoint

Job description

At IMCO, our talent is among the best! IMCO offers a uniquely stimulating and rewarding environment where you can help build and drive organizational transformation, all while seeking to challenge yourself, learn, and grow your career.

We offer a culture of collaboration and passion, creating unwavering value for the clients we serve. Our vision is to be the partner of choice for Ontario’s public sector funds and build a high-performing, value-based Asset Management firm in the heart of downtown Toronto.

If you are ready to drive best-in-class service, and join a collaborative, motivated, and fun team of professionals, we’re ready to offer you a great place to work with exciting opportunities for growth and development.

If you want to use your expertise to drive strategic business outcomes, then we want you at IMCO!

This is an 18 month contract position.

IMCO is looking for a highly motivated Senior Manager to join our Compliance team!

Reporting to the Vice President, the Senior Manager, Compliance is primarily responsible for managing all aspects of IMCO’s policies and guidelines, overseeing corporate compliance requirements, client deliverables, and drafting compliance reports to the Board and senior management team. They also help identify and partner with IMCO’s IT team to develop automation and GenAI tools that will strengthen the efficiency and effectiveness of IMCO’s corporate compliance program. This role manages 1-2 direct reports.

Responsibilities:

1. Responsible for ensuring all policies and guidelines in the organization are created, reviewed, and approved in accordance with IMCO’s Policy Governance Framework.
2. Lead kick-off meetings and collaborate with all business groups in drafting, providing input, and reviewing their respective policies and guidelines as required.
3. Manage the compliance training program: ensure compliance training materials and other relevant documentation are updated as necessary as the result of regulatory or policy and guideline changes and identify and create additional training or self-help tools as required.
4. Identify and evaluate changes required in compliance processes and controls based on regulatory changes.
5. Prepare memos and reports for the IMCO Board and senior management team on corporate compliance matters as required.
6. Manage IMCO’s quarterly compliance certificate program for all IMCO’s clients, which includes engaging with the Senior Leadership and Senior Executive Teams.
7. Act as the key compliance point of contact for all SOC I / II and client-related matters.
8. Provide oversight and support to IMCO’s Whistleblower Program.
9. Oversee compliance requirements for non-permanent workers for onboarding and offboarding purposes.
10. Monitor use of GenAI technology as it relates to IMCO’s Policy ChatGPT Agent.
11. Other duties as assigned.

What you need to succeed:

1. A university degree, ideally in Business, Finance, Communications, or related discipline, is required.
2. 6+ years of experience in the financial or insurance industry, with a minimum of 4 years of experience in Compliance, Strategic Operations, or Operational Risk within an OSFI, OSC, SEC, or FRSA regulated entity is required, ideally with direct experience working in the Canadian Banking, Pensions, or Investment Management industry.
3. Proven excellence and attention to detail in written communications, with the ability to explain complex issues in a clear and compelling manner to internal stakeholders is essential.
4. Proven experience in writing and revising complex policies and guidelines is also essential.
5. Highly advanced Excel, PowerPoint, and Word skills are required, while experience with a policy management program (such as ConvergePoint) is helpful.
6. Demonstrated knowledge in Power BI and/or Microsoft Copilot suite of AI tools is highly desirable.
7. Experience in system design and/or system implementation will be beneficial.
8. Ability to consistently deliver quality outputs in a fast-paced environment, with an ability to work to tight deadlines and handle multiple projects and requests simultaneously.
9. Strong interpersonal skills with the ability to interact with colleagues at all levels and cultivate key partnerships to work collaboratively with internal and external stakeholders as well as third-party administrators.
10. Demonstrated ability to be proactive and take initiative to understand, support, and implement goals and objectives.

We thank all applicants, however, only those selected for an interview will be contacted.

Our hybrid work model offers flexibility and provides our employees with the opportunity to lead a well-balanced life. Our offices located at 16 York Street, Suite 2400, Toronto, ON M5J 0E6, provide a welcoming space for employees to gather, work collaboratively, and grow together.

IMCO is committed to providing accommodation for people with disabilities in its recruitment process. Please advise IMCO if you require an accommodation, and we will work with you to meet your needs. Candidates being considered for this position will be required to submit to a background screening.