Senior Manager, Portfolio Compliance

Connor, Clark & Lunn Financial Group; Toronto; On-site; CAD 110,000 - 190,000; Full time

Job summary

Connor Clark & Lunn Financial Group is seeking a Senior Manager Portfolio Compliance within its Operations Risk Group. The role will shape the strategic direction of the portfolio compliance function and own its delivery, leading a global team with responsibilities spanning multiple locations and business partners.

You will oversee the firm's portfolio compliance framework, including pre-trade and post-trade monitoring, and evolve the shareholder disclosure program across affiliates.

Responsibilities

• Help shape strategic direction of portfolio compliance function.
• Lead a global team across Vancouver, Toronto and Gurugram.
• Own delivery of target operating model for portfolio compliance.
• Oversee pre-trade and post-trade monitoring via Charles River (CRIMS).
• Evolve shareholder disclosure, including beneficial ownership and short selling disclosures.
• Manage and develop a team of 3 managers and 10 staff across locations.
• Coach managers, set goals, and manage performance for talent development.
• Drive policy and procedure evolution to align with industry developments.

Job description

Connor Clark & Lunn Financial Group (“CC& ;L FG”) is looking for a Senior Manager Portfolio Compliance to take on a newly defined role within our Operations Risk Group. The ideal candidate is a strong leader and communicator who can shape the strategic direction of the function alongside the Principal and Director and then own its delivery running a global compliance operation critically assessing and improving compliance controls and implementing leading practices across the Portfolio Compliance team and Investment Operations. This is a fantastic opportunity to step into a role with significant scope and to continue the evolution of a team whose visibility and importance continue to grow.

What You Will Do

A senior leadership role that helps shape the strategic direction of the function and is accountable for delivering it. You will translate strategy into an operating reality and lead a global team working closely with multiple business partners including portfolio managers compliance officers client servicing staff legal information technology and other middle and back‑office teams.

Own the delivery of the function's target operating model turning strategic direction set with the Principal and Director into day‑to‑day practice and ensuring the managers and their teams stay aligned and execute consistently across locations.

Oversee the operation of the firm's portfolio compliance framework including pre‑trade and post‑trade monitoring through Charles River (CRIMS) across all asset classes strategies and security types.

Evolve the Shareholder Disclosure program including beneficial ownership short selling and takeover panel disclosures through FundApps maintaining accountability for the integrity of the disclosure process across affiliates.

Manage and oversee a growing Portfolio Compliance team currently 3 managers and 10 staff in Vancouver Toronto and Gurugram. The team covers compliance rule coding monitoring and reporting shareholder disclosure and the compliance aspects of projects fund launches and other undertakings across the firm.

Lead the performance and development of the team including coaching and mentoring the 3 managers setting goals and expectations managing performance and supporting talent planning across the team.

Evolve and progress portfolio compliance policies and procedures in line with business and industry developments and drive consistency in how investment constraints are interpreted coded monitored and governed across the firm.