Associate Compliance

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One of Canadas Most Trusted Investment Brands.

At Picton Mahoney Asset Management being alternative isnt just what we doits who we are.

Founded by industry pioneer David Picton weve spent 20 years challenging conventional wisdom and redefining the investing landscape. As one of Canadas most trusted investment brands we are proudly independentprivately run 100 employeeowned and deeply committed to delivering results for our clients.

Thinking Alternatively is in Our DNA.

With a team of 160 bold thinkersonethird dedicated solely to investment managementwe are specialists not generalists. Managing $13 billion for institutional and retail clients we navigate markets with conviction resilience and a forwardthinking approach.

Were more than investors were innovators. We challenge traditional investment mindsets constantly pushing the boundaries to achieve our mission: To bring greater certainty to investors.

Our success is built on four guiding principles:

• Treat investors money like our own.
• Redefine the way investors invest.
• Be humanalways approachable.
• Succeed together one investment at a time.

These arent just wordsthey define how we think how we invest and how we work.

Now were entering our next chapter. Were transforming our brand and reshaping the way the world invests. If you think alternatively embrace an entrepreneurial spirit and thrive in a dynamic bureaucracyfree environment join us and be part of whats next.

Thriving in Our Entrepreneurial Culture

At Picton Mahoney youll thrive in our creative and dynamic workplace where collaboration and support are at the core of everything we do. At our firm youll have the opportunity to take on significant responsibilities work in a flexible environment and tackle challenging projects from the outset. Our culture is designed for ambitious professionals who want to make an immediate impact while continuing to push boundaries and achieve our greater mission. Youll be empowered with a high level of responsibility trust and flexibility providing an exciting and creative space for you to help reshape how the world views alternative investments. With competitive total rewards performancebased bonuses and a clear path for career growth youll have everything you need to develop both now and over the longer term.

The Opportunity

Our compliance team is seeking a Associate Compliance to manage the daytoday compliance program and lead the charge on various compliancerelated matters. Reporting theCompliance Manager the role encompasses monitoring overseeing and reporting on all areas of compliance including trading and investment code of ethics and business conduct compliance marketing review financial crime privacy and antispam compliance.

Youll have the opportunity to learn and lead:

• Manage and conduct daytoday trading and investment monitoring and testing program and related reporting
• Code of ethics compliance (personal trading employee certifications gifts and entertainment outside business activities)
• Manage the implementation and tracking of training and educational programs for employees
• Review sales practices requests
• Assist in the review of marketing materials including social media monitoring
• Assist with firm and individual registration matters
• Assist with client onboarding
• Daytoday financial crime compliance monitoring (antimoney laundering antiterrorism sanctions)
• Assist with privacy and antispam compliance matters
• Develop and maintain a knowledge and awareness of investment industry regulatory and/or policy changes with potential impact on firms business compliance program and/or reporting requirements
• Advise internal stakeholders on various compliance and regulatory matters
• Assist with regulatory filings developing and implementing policies periodic reporting to senior management and managing and coordinating readiness for regulatory reviews

What were looking for

• 12 years experience in the mutual fund/asset management industry with related compliance or regulatory background
• Completion of Canadian Securities Course (or equivalent)
• Undergraduate degree
• Awareness of Canadian securities legislation including NI 31103 NI 45106 NI 81102 NI 81105
• Strong research problem solving and analytical skills
• Selfmotivator with ability to work independently as well as in a team
• Accountable accurate and detailoriented exceptional followthrough
• Excellent organizational and project management skills
• Excellent communication skills both oral and written
• Strong proficiency in Microsoft Excel
• Experience with various investment/compliance systems including Bloomberg and Charles River is an asset
• Ability to effectively present data analytics to various audiences
• Ability to work and thrive in a fastpaced environment

Our Commitment to Employees

At Picton Mahoney Asset Management we take pride in enhancing our employees experiences through a comprehensive suite of exceptional perks and programs. Our benefits include corporate fitness reimbursement and discounts VersaFi memberships (formerly Women in Capital Markets) Picton Wealth investment counseling and portfolio management services volunteer and charitable donation matching maternity and parental leave topup recognition awards semiannual performance bonuses a generous annual vacation entitlement (minimum of 15 days per year) training and development reimbursement extensive health and dental benefits a healthcare spending account and more.

These offerings are designed to support your career growth wellbeing and overall success. Join us and thrive in an environment that values and invests in you!

Picton Mahoney Asset Management is committed to providing an equitable and fair work environment for everyone and all hiring and other personnel actions will be taken without regard to race colour creed religion sex disability gender identity gender expression family status age language or national origin. If you require an accommodation at any point in time throughout the application and hiring process please contact Human Resources ator at .

Picton Mahoney Asset Management does not accept unsolicited resumes emails calls or any other form of communication from thirdparty recruitment agencies. Any unsolicited outreach including commercial electronic messages will neither be acknowledged nor considered.

Job Posting Closing Date: Friday March 7th at 5:00 PM EST

Please note that while we carefully review each application only those candidates selected for further consideration will be contacted. We wish you all the best in your job search and future endeavors.