Risk & Compliance Associate

Our client, a growing investment management firm catering to high net-worth clients is currently seeking a dynamic Risk & Compliance Associate to joining their growing compliance team. The Risk & Compliance Associate will report to the Chief Risk & Compliance Officer and will be responsible maintaining and enhancing the firms strategic compliance programs, policies and procedures.

Primary Responsibilities

• Maintaining compliance programs, including the Compliance Calendar

• Supporting the client service associates in their day-to-day activity related to risk & compliance, including reviewing client KYC files, reviewing subscription documents for accuracy and suitability, and responding to operational team members relevant compliance questions in a timely manner.

• Supporting the Firm’s proprietary fund-of-fund’s compliance requirements (i.e., filings, reviewing investments, subscriptions etc.)

• Acting as the operations team’s compliance resource with respect to the team’s interactions with clients, internal team members and outside vendors when necessary.

• Leading preparation efforts for compliance and regulatory audits

• Facilitating Compliance- and risk-based learning across the organization, including ongoing conversations to raise questions and concerns

• Coordinating ongoing updates to all policy and procedure manuals and ensuring appropriate distribution to and attestation by all staff

• Providing oversight and strategic guidance in identifying, managing, and mitigating risks

• Participating in industry committees and forums to share knowledge and best practices in the space

• Assisting with investigations into wrongdoing and anything that violates regulatory/legal requirements

• Analyzing internal processes to ensure compliance with firm policies and industry regulations

• Developing risk management strategies

• Designing control systems to address cases of violation of internal business policies

• Designing ongoing training programs for the team

• Acting as secretary for the Risk & Compliance Committee

Qualifications:

• 2-3 years of experience working in a compliance environment for a Canadian asset manager or smaller financial services firm
• Knowledge of Canadian regulatory requirements and industry standards. (Experience with US and other foreign jurisdictions a plus)
• Experience in managing relationships with securities regulator
• Knowledge of alternative assets is preferable
• Operational risk experience preferred

If you believe that this opportunity is right for you, please apply or email Anas at [email protected]