REF #1495
Our Client
Is an independent asset management firm headquartered in Montreal, specializing in traditional and alternative investment strategies.
Responsibilities
- Support the day-to-day administration of the compliance function
- Assist with daily, monthly, quarterly, and annual compliance monitoring, testing, and documentation
- Support client onboarding and review subscription agreements and KYC documentation
- Maintain client documentation including KYC forms, investment management agreements, and related records
- Assist with initial and ongoing due diligence of third‑party service providers
- Maintain and update compliance policies, procedures, and manuals
- Maintain compliance logs (personal trading, outside business activities, conflicts of interest, etc.)
- Support registration obligations and ongoing regulatory reporting
- Participate in internal audits and external regulatory examinations
- Contribute to compliance training initiatives and promote a strong culture of compliance
- Collaborate with portfolio management, operations, and finance teams to support compliance activities
- Assist with Business Continuity Plan (BCP) planning and testing
- Support special projects as assigned
Qualifications
- Bachelor’s degree in Finance, Business, Law, or a related field
- 3–5 years of compliance experience within an Investment Fund Manager (IFM), Portfolio Manager (PM), and/or Exempt Market Dealer (EMD)
- Exposure to regulatory examinations and audits
- Strong analytical, organizational, and communication skills
- Ability to work effectively in a lean, collaborative environment
- Ability to manage multiple priorities and meet deadlines
- Canadian Securities Course (CSC) and/or Conduct and Practices Handbook (CPH) considered an asset
- Based in Montreal
Seniority level
- Associate
Employment type
- Full-time
Job function
- Legal
- Industries: Staffing and Recruiting and Legal Services
#J-18808-Ljbffr
Compliance Officer – Responsable, conformité in Montréal employer: BJRC Recruiting
As a growing boutique professional services firm located in Markham, we pride ourselves on our entrepreneurial culture and strong client relationships. Our close-knit team fosters a collaborative environment where talented individuals can make a meaningful impact, drive process improvements, and shape the future of the business. We offer competitive benefits, opportunities for professional growth, and a chance to be a key player in modernizing our operations while enjoying a supportive work culture.
