Senior Manager, Portfolio Compliance

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

Job summary

Connor, Clark & Lunn Financial Group ("CC&L FG") is seeking a Senior Manager, Portfolio Compliance to lead a newly defined function within our Operations Risk Group in Vancouver. You will shape strategic direction, own delivery, and manage a global team to strengthen compliance controls and disclosure across asset classes.

You bring 10+ years in portfolio or investment compliance, leadership across multiple locations, and a CFA or related qualification.

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.
• Collaborative, relationship-focused with internal and external stakeholders.
• Influencer and thought leader with strong communication skills.

Responsibilities

• Shape the strategic direction of the function and lead a global team.
• Own the delivery of the target operating model and align teams across locations.
• Oversee the portfolio compliance framework including pre- and post-trade monitoring via CRIMS.
• Evolve the Shareholder Disclosure program through FundApps and maintain disclosure integrity.
• Manage the growing Portfolio Compliance team across Vancouver, Toronto, and Gurugram.
• Lead performance and development of the team and drive talent planning.
• Evolve policies to align with industry developments and ensure consistency across the firm.

Skills

Leadership

Communication

Strategic thinking

Regulatory experience

Portfolio compliance

Stakeholder management

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 Complianceto 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.
• Overseethe 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.
• EvolvetheShareholder Disclosure program, including beneficial ownership, short selling, and takeover panel disclosures throughFundApps,maintainingaccountability for the integrity of the disclosure process across affiliates.
• Manage and overseea growingPortfolio Compliance team,currently3managers and10staffinVancouver, Toronto, and Gurugram. The team coverscompliance rule coding,monitoringand reporting, shareholder disclosure, and the compliance aspects of projects, fund launches, and other undertakings across thefirm.
• 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 theteam.
• 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 by10+ years in portfolio or investment compliance within investment management or financial services, with deep experience in compliance frameworks,monitoringsystems, 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.
• Progressivepeopleleadership experience, including coaching, mentoring, performance management, and team development, ideally across multiple locations.
• A CFA designation or completion of a relevant compliance orriskqualification is an asset.
• Collaborative and relationship-focused, experienced in building andmaintainingproductive 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,identifyingroot causes, and implementing solutions to achieve short- and long-term goals.
• Strong communicationskills, with excellent writing, listening, and presentation abilities across all organizational levels.

Technology savvy, fluent in compliance systems (Charles Riverpreferred), 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.