Senior Compliance Officer
For our affiliate, Portland Investment Counsel Inc.
- Assist in the maintenance and monitoring of compliance with Portland’s Compliance Manual and escalate compliance items to the CCO as required.
- Assists in writing new compliance policies and procedures, testing and review of current policies and keeping Portland’s Compliance Manual up to date for changes in processes and regulation or legislation that impacts Portland.
- Provide advice in connection with routine compliance inquiries from other departments.
- Oversee student intern’s 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.
- Assist in the hiring process of student interns including interviews, performance reviews and provide training and oversee the day-day activities assigned by the Compliance Department to the student intern throughout his or her term with Portland.
- Update and maintain compliance calendar of filings and action items and ensures tasks are done on a timely basis.
- Prepare and/or review regulatory filings including NI 24-101, 13F/13H, 45-106F1, simplified prospectus, annual information form, fund facts, financial statements and MRFPs.
- Prepare quarterly and annual reporting for the Compliance and Risk Committee, Independent Review Committee and/or boards of directors.
- Participate in industry forums and meetings and forge relationships with other compliance officers in the industry.
- Participate in special projects, including managing projects, and perform other duties as assigned.
- Achievement Orientation – A concern for working well or for surpassing a standard of excellence
- Analytical Thinking - Understanding a situation, issue, problem, etc. by breaking it into smaller pieces
- Commitment to Continuous Learning - Taking action to continuously learn in order to improve individual professionalism and effectiveness within the organization
- Conceptual Thinking - The ability to identify patterns or connections between situations that are not obviously related
- Concern for Order - Reflects an underlying drive to reduce uncertainty in the surrounding environment
- Expertise - The ability and motivation to expand and use technical knowledge or to distribute work-related knowledge to others
- Information Seeking - Driven by an underlying curiosity and desire to know more about things, people, or issues
- Teamwork and Cooperation - Works cooperatively with others, to be part of a team, to work together, as opposed to working separately or competitively
- Relationship Building – The ability to build, maintain and manage relationships, networks or contacts
- Bachelor’s Degree/College Diploma required
- Canadian Securities Course desired
- Branch Manager Course desired
- Partners, Directors and Senior Officers Course desired
- Minimum 5 years of compliance experience in the securities industry.
- Working knowledge of securities legislation relevant to client accounts and funds.
- Experience with a variety of investment products mutual fund trusts, limited partnerships and investment in private securities highly desirable.
- Experience with exempt market dealer activities and retail and institutional managed accounts and related systems highly desirable.
- Advanced Excel and Word skills required; familiarity with Bloomberg desired.
Qualified applicants should email resumes along with a cover letter to email@example.com. We thank all applicants in advance, however, only those individuals selected for an interview will be contacted.
We respect the dignity and independence of persons with disabilities. Accommodations are available on request for candidates taking part in all aspects of the selection process.
Reasonable accommodations will be made to enable individuals with disabilities to perform the essential functions.
If contacted for an interview, please inform us should any accommodation be required.
We thank all applicants in advance, however, only those individuals selected for an interview will be contacted.