Senior Manager, Compliance

Job title:

Senior Manager, Compliance

Company

B. Riley Farber

Job description

B. Riley Farber has been retained to lead a search for a Senior Manager, Compliance for Canso Investment Counsel Ltd. (“Canso”). Canso, established in 1997, is a leading independent firm specializing in managing fixed income portfolios for institutional and private clients. Canso’s commitment to a disciplined, research-driven approach has consistently delivered superior long-term results, making them a trusted partner for their clients. Canso is registered as an Investment Fund Manager, Portfolio Manager, and Exempt Market Dealer.The Role: Are you ready to join a dynamic and respected investment management firm where compliance is at the heart of everything they do? If so, this is your chance to play a critical role in maintaining and enhancing the regulatory framework that supports Canso’s success.As they continue to grow and navigate the ever-evolving regulatory landscape, Canso is looking for a Senior Manager of Compliance to join the Toronto-based team. This role offers a unique opportunity to work closely with the Chief Compliance Officer (CCO) and make a significant impact on the compliance framework.At Canso, you will be joining a team of passionate professionals who are committed to excellence in everything they do. Canso offers a collaborative and supportive work environment where your expertise will be valued, and your contributions will have a direct impact on the firm’s success. This is your opportunity to take on a senior role in a company that values integrity, innovation, and a client-first approach.What You’ll Do: As the Senior Manager of Compliance, you will be a pivotal member of the compliance team, ensuring that Canso remains fully compliant with both Canadian and U.S. regulations. This is not just a job; it’s a chance to lead, innovate, and shape the future of compliance at one of Canada’s premier investment firms.Your responsibilities will include:

• Portfolio Compliance: Partnering with the CCO to ensure managed accounts are always in alignment with securities regulations such as National Instrument 81-102.
• Client Relations: Completing clients’ compliance certificates and due diligence questionnaires, maintaining Canso’s reputation for transparency and trust.
• Employee Oversight: Monitoring employees’ personal trading activities, ensuring strict adherence to firm policies, and promptly addressing any violations.
• Regulatory Filings: Managing and completing all shareholder filings, including Insider Reporting and Early Warning Reporting, while coordinating with external legal counsel as needed.
• Training & Development: Creating engaging PowerPoint training materials and delivering compliance training sessions to the Canso team, fostering a culture of continuous learning and compliance excellence.
• U.S. Registration: Supporting Canso’s ongoing efforts to register in the U.S., leveraging your experience to guide this critical process.

What You Bring:

• A Bachelor’s degree in Finance, Law, Business Administration, or a related field.
• A minimum of 7-10 years of experience in a compliance role within the investment management industry.
• In-depth knowledge of Canadian and U.S. regulatory requirements, with specific experience in interacting with the U.S. Securities and Exchange Commission (SEC) being highly beneficial.
• Strong analytical skills and a keen eye for detail.
• Excellent communication skills, with the ability to convey complex regulatory concepts clearly and effectively.
• Proficiency in Microsoft Excel and PowerPoint.
• A team-oriented mindset, coupled with the ability to work independently and manage multiple priorities.
• A CFA or CPA/CA designation is a nice to have, adding further value to your qualifications.

If you’re ready to take the next step in your compliance career and make a difference at one of Canada’s leading investment firms, we want to hear from you!

Expected salary

Location

Toronto, ON

Job date

Tue, 13 Aug 2024 22:50:23 GMT

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