Senior Manager, Portfolio Compliance
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Job Summary
What You Will Do
- A senior leadership role that helps shape the strategic direction of the function and is accountable for delivering it. You will translate strategy into an operating reality and lead a global team working closely with multiple business partners including portfolio managers compliance officers client servicing staff legalinformation technology and other middle and back-office teams.
- Own the delivery of the functions target operating model turning strategic direction set with the Principal and Director into day-to-day practice and ensuring the managers and their teams stay aligned and execute consistently across locations.
- Overseethe operation of the firms portfolio compliance framework including pre-trade and post-trade monitoring through Charles River (CRIMS) across all asset classes strategies and security types.
- EvolvetheShareholder Disclosure program including beneficial ownership short selling and takeover panel disclosures throughFundAppsmaintainingaccountability for the integrity of the disclosure process across affiliates.
- Manage and overseea growingPortfolio Compliance teamcurrently3managers and10staffinVancouver Toronto and Gurugram. The team coverscompliance rule codingmonitoringand reporting shareholder disclosure and the compliance aspects of projects fund launches and other undertakings across thefirm.
- Lead the performance and development of the team including coaching and mentoring the 3 managers setting goals and expectations managing performance and supporting talent planning across theteam.
- Evolve and progress portfolio compliance policies and procedures in line with business and industry developments and drive consistency in how investment constraints are interpreted codedmonitored and governed across the firm.
- A genuine passion for compliance done well backed by10 years in portfolio or investment compliance within investment management or financial services with deep experience in compliance frameworksmonitoringsystems and shareholder disclosure bring a high bar and the drive to raise it pushing the function and the team to keep improving not just keep running.
- Progressivepeopleleadership experience including coaching mentoring performance management and team development ideally across multiple locations.
- A CFA designation or completion of a relevant compliance orriskqualification is an asset.
- Collaborative and relationship-focused experienced in building andmaintainingproductive relationships across business units and with internal and external stakeholders.
- Influencer and thought leader able to engage teams across all levels communicate ideas effectively and confidently challenge the status quo.
- Continuous improvement mindset skilled at analyzing processesidentifyingroot causes and implementing solutions to achieve short- and long-term goals.
- Strong communicationskills with excellent writing listening and presentation abilities across all organizational levels.
- Technology savvy fluent in compliance systems (Charles Riverpreferred) comfortable with data order management systems and reporting tools and curious about AI including experimenting with new tools to strengthen the compliance function.
The salary range for this position is$150000 to $180000. The salary rangeprovidedreflects the base salary range for this position as required by addition there is an annual performance bonus which contributes to the total compensation for this position. Further questions may be directed to the HR team during the interview process.
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What We Offer
At Connor Clark & Lunn Financial Group were invested in our greatest asset you. Our shared goals reflect what matters most to our people:
- Your community: we foster belonging through collaboration inclusion and flexibility. Enjoy social events volunteering and a strong commitment to corporate social responsibility. Our flexible work practices are designed to support work-life balance and provide employees with flexibility in where and how they work
- Your growth: we prioritize your development with meaningful work continuous learning budgets paid study days and support for professional designations.
- Recognizing you: your contributions are rewarded with competitive total compensation retirement savings support wellness credits enhanced parental leave and comprehensive health benefits.
For a closer look at how you can build your career with us we invite you to explore .
We are committed to providing an inclusive accessible recruitment and selection process. We welcome and encourage applications from people with disabilities. Accommodations are available on request for candidates taking part in all aspects of the recruitment and selection process. Please contact if you require accommodation.
AI may be used to support certain stages of our screening & recruitment process. These tools support but do not replace human judgment and decision-making.
Required Experience:
Senior Manager
About Company
What We Offer At Connor, Clark & Lunn Financial Group, we’re "invested in our greatest asset, you". Our shared goals reflect what matters most to our people: Your community: we foster belonging through collaboration, inclusion and flexibility. Enjoy social events, volunteering and a s ... View more
