Two (2) Senior Compliance Officers
For our affiliate, Portland Investment Counsel Inc.
The Senior Compliance Officer is responsible for supervising and assisting in the compliance activities of Portland’s investment funds, managed accounts and exempt market dealer business segments under the supervision of the Chief Compliance Officer (CCO). In addition, the Senior Compliance Officer will oversee and train student interns to assist with compliance activities and other ad hoc tasks as required. The Senior Compliance Officer may assist other business units including legal, fund reporting, fund administration, marketing and portfolio management.
- 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.
- Review of marketing materials.
- Assist with offering and constating documents.
- 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 – Creates own measures of excellence
- Achievement Orientation – A concern for working well or for surpassing a standard of excellence - Sets and works to meet challenging goals
- Analytical Thinking - Understanding a situation, issue, problem, etc. by breaking it into smaller pieces - Identifies multiple elements of a problem and breaks down each of those elements in detail, showing causal relationships between them
- Conceptual Thinking - The ability to identify patterns or connections between situations that are not obviously related - Clarifies complex data or situations
- Concern for Order - Reflects an underlying drive to reduce uncertainty in the surrounding environment - Monitors progress of a project against deadlines
- Commitment to Continuous Learning - Taking action to continuously learn in order to improve individual professionalism and effectiveness within the organisation - Finds multiple opportunities to use new ideas, approaches, and knowledge to more effectively manage tasks and challenges within the organization
- Information Seeking - Driven by an underlying curiosity and desire to know more about things, people, or issues - Establishes ongoing systems or habits to get information
- Teamwork and Cooperation -Works cooperatively with others, to be part of a team, to work together, as opposed to working separately or competitively - Acts to promote good working relationships
- Relationship Building – The ability to build, maintain and manage relationships, networks or contacts – Uses the network to identify opportunities, gather market intelligence and seek input to problems, with a view to sustaining service excellence
- Bachelors Degree/College Diploma required
- 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 and Alpha Desk desired.
Reporting to: Chief Compliance Officer
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
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.