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Job Description

Join one of Canada’s most respected Compliance teams!

The Regional Compliance Manager for Montreal is responsible for the supervision and development of their regional area, ensuring that the managers, sales representatives and field administrative staff are well informed about regulatory and compliance matters.

Responsibilities:

• Establishing budgets and managing expenses of the field compliance team
• Educating regional staff on their responsibilities and compliance issues relating to the investment business
• Establishing protocol for overseeing the network of branch managers within the distribution channels
• Mediating any situations of conflict or differences within the branch compliance network
• Liaising/communicating with securities regulators, industry representatives and participating on committees as required

Job Requirements

• Bilingual (English and French, oral and written)
• Comprehensive knowledge of national and provincial securities acts, regulations, policies and of Mutual Fund Dealers Association’s rules and policies
• Industry designations - Officers, Partners, Directors proficiencies are an asset
• Registered to sell mutual funds for 3 – 5 years
• In depth knowledge of dealer sales force trading practices and dealer administrative practices
• Demonstration of strong leadership skills are an asset
• Ability to juggle several competing priorities
• Ability to maintain confidentiality is mandatory
• Strong communication, negotiation and problem solving skills
• Proven analytical skills and attention to detail required
• Demonstrated good judgement, organization and strong time management skills
• Ability to research independently, document the research, and to present to individuals at all levels of the organization

Please email us your resume and we look forward to hearing from all qualified candidates!

Thank you.

• Location: MONTREAL
• Compensation: 60-75K based on experience
• Principals only. Recruiters, please don't contact this job poster.
• Please, no phone calls about this job!
• Please do not contact job poster about other services, products or commercial interests.