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Senior Advisor, Regulatory Compliance

Downtown Montreal

Financial & Investment Funds | Finance corporative et investissement | #4304

Permanent | French

Differentiating elements

Growing Environment
Key Role with High Added Value
Mission with Constructive Impact
Professional Development

About the employer

A leading independent asset management firm, the company specializes in providing customized investment solutions for institutional and private clients. Committed to excellence and innovation, it promotes a culture of inclusion, professional development and employee well-being. With an international presence, it continues to grow and optimize its operations.

Benefits

Flexible schedule and hybrid work options for the moment – Vacation weeks and personal days – Paid holidays and an involved personal day bank – A close-knit team of professionals – Great team collaboration and pleasant atmosphere every day – A company that invests in career development – Paid training offered – Comprehensive insurance offered – Employer contribution to RRSP – Unlimited access to telemedicine – Health and wellness program – Incredible opportunities for career advancement.

Your responsibilities in a few words!

Execute regulatory controls monitoring and testing programs – Identify and correct discrepancies related to KYC, AML/ATF and suitability processes – Perform customer due diligence processes – Review marketing materials and communications to ensure regulatory compliance – Participate in regulatory reviews and requests – Support monitoring programs (electronic communications, Contribute to the updating of internal policies and compliance manual – Collaborate in the creation and dissemination of compliance training – Work closely with risk, legal and business teams

Your assets for this position!

Relevant certification (CFA, CSC, AMF)
Bachelor’s degree in finance, administration, accounting or related field
Minimum 5 years’ experience in regulatory compliance
Knowledge of asset management regulatory framework (KYC, AML/ATF, suitability, surveillance)
Mastery of internal controls and testing methodologies
Experience in the asset management industry or banking sector
Experience in a buy-side environment
Experience in interacting with regulators
Professional command of French and English
Experience in regulatory reviews

Summary

An ideal opportunity for a rigorous and structured individual, capable of navigating complex regulatory environments and acting on high-impact strategic issues. You will play a crucial role in a specialized compliance team where collaboration with key partners is at the heart of activities. You will thrive in a structured, international environment, adapting to a regulatory compliance manager. By joining this team, you will contribute directly to the soundness and integrity of regulatory practices, while having visibility over global operations. You will evolve in a professional and collaborative atmosphere, with numerous opportunities for development and advancement. Join us to advance your career in a strategic and growing environment!

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