Compliance Manager - Montreal - Services Conseils Jafferson inc.

    Services Conseils Jafferson inc.
    Full time $75,000 - $130,000 (CAD) per year *
    Description

    Our client, an Asset Management firm specialized in managing equities in health care sector, is looking for a Compliance Manager. He/She will be responsible for keeping up-to-date and applying compliance policies and procedures under the regulatory authorities (AMF (Quebec), SEC) as well as the SFC in Hong Kong.

    Working directly with the Chief Compliance Officer and CEO, he/she will be responsible to keep a thorough knowledge and understanding of the regulations; evaluate the risk applicable to the group; update and implement compliance policies and procedures; and maintain registration and regulatory filings.

    The incumbent enjoys working in a small, fast-paced, hands-on, detailed-oriented entrepreneurial environment, where his/her efforts are recognized and rewarded over time.

    This is a part-time role, on-site three/four days per week.

    Role-Specific Responsibilities

    • General oversight of all compliance matters as it relates to regulatory authorities, such as AMF (Quebec) and SEC, as well as Foreign Authorities where the Group is registered (SFC in Hong Kong);
    • Respond to regulatory inquiries and audits;
    • Remain current with developments in applicable securities laws and AML legislation, including awareness of changes in regulations to proactively position the firm for changes and/or new developments;
    • Development and streamlining of Sectoral's written compliance controls, policies and procedures;
    • Provide training regarding new products or services, changes in policies and regulatory requirements;
    • Prepare materials for the compliance meeting, take meeting minutes and supervise follow-ups of compliance activities
    • Review and approve advertising material
    • Complete ad hoc, monthly, quarterly and annual filings with the various authorities including, but not limited to , AMF , OSC, SEC, FINRA, etc.; maintain current NRD and SEC registrations; assist with preparing SFC annual reports
    • Assist CCO with preparing the Annual Report to the Board of Directors regarding Compliance activities
    • Participate to various projects as needed.

    Requirements

    • Bachelor's degree in accounting, law or other pertinent
    • Strong command of MS Office suite
    • Solid oral and written communication skills in English, and functional French
    • Strong analytical skills and great attention to detail
    • A focused team player, with a strong sense of service and drive.

    #J-18808-Ljbffr
    * This salary range is an estimation made by beBee
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