Senior Manager, Portfolio Compliance

Connor, Clark & Lunn Financial Group; Vancouver; Hybrid; CAD 150,000 - 180,000; Full time

Benefits offered by this job

Annual bonus

Hybrid work model

Job summary

Connor, Clark & Lunn Financial Group is seeking a Senior Manager, Portfolio Compliance to lead a newly defined function within our Operations Risk Group in Vancouver. You will shape strategy, own delivery, and run a global compliance operation across asset classes and locations.

You will oversee pre-trade and post-trade monitoring in CRIMS, evolve the shareholder disclosure program with FundApps, and coach a growing team of managers and staff. A CFA or equivalent qualification is an asset.

Qualifications

• 10+ years in portfolio or investment compliance within investment management or financial services.
• Progressive people leadership experience across multiple locations.
• CFA designation or completion of a relevant compliance or risk qualification is an asset.
• Collaborative and relationship-focused, able to engage across business units and stakeholders.
• Strong communication skills and ability to influence across all levels.

Responsibilities

• Shape the strategic direction of the function and lead a global team.
• Deliver the function's operating model across locations.
• Oversee pre-trade and post-trade monitoring via CRIMS across asset classes.
• Evolve shareholder disclosure programs (FundApps) and ensure data integrity.
• Coach and develop managers and staff within Portfolio Compliance.
• Advance policies and procedures to reflect industry developments.

Skills

Portfolio compliance leadership

Stakeholder management

Regulatory monitoring

Team development & mentoring

Education

CFA designation

Tools

Charles River CRIMS

FundApps

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.

What You Bring

• A genuine passion for compliance done well, backed by 10+ years in portfolio or investment compliance within investment management or financial services, with deep experience in compliance frameworks, monitoring systems, and shareholder disclosure obligations. You bring a high bar and the drive to raise it, pushing the function and the team to keep improving, not just keep running.
• Progressive people leadership experience, including coaching, mentoring, performance management, and team development, ideally across multiple locations.
• A CFA designation or completion of a relevant compliance or risk qualification is an asset.
• Collaborative and relationship-focused, experienced in building and maintaining productive relationships across business units and with internal and external stakeholders.
• Influencer and thought leader, able to engage teams across all levels, communicate ideas effectively, and confidently challenge the status quo.
• Continuous improvement mindset, skilled at analyzing processes, identifying root causes, and implementing solutions to achieve short- and long-term goals.
• Strong communication skills, with excellent writing, listening, and presentation abilities across all organizational levels.

Technology savvy, fluent in compliance systems (Charles River preferred), comfortable with data, order management systems, and reporting tools, and curious about AI, including experimenting with new tools to strengthen the compliance function.

The salary range for this position is $ 150,000 to $180,000 . The salary range provided reflects the base salary range for this position as required by legislation. In addition, there is an annual performance bonus which contributes to the total compensation for this position. Further questions may be directed to the HR team during the interview process.

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CC&L Financial Group is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to gender, ethnicity, religion, sexual orientation or expression, disability, or age.