Senior Compliance Manager

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ABOUT BURGUNDY ASSET MANAGEMENT LTD

Burgundy Asset Management Ltd. is a division of BMO Financial Group. Within BMO Wealth Management Burgundy functions as an independent line of business. Burgundy is a global investment manager providing discretionary investment management for private clients and institutions. Founded in 1990 we invest with a long-term fundamental approach - building concentrated portfolios of high-quality businesses to protect and compound clients capital over time.

Our culture is grounded in honesty courage and doing what is right for our clients - and we look for candidates who share these values.

POSITION SUMMARY

The Senior Compliance Manager is responsible for supervising and assisting in the compliance activities of Burgundys investment funds managed accounts and portfolio management business under the supervision of the Chief Compliance Officer (CCO). The Senior Compliance Manager will manage and assist with regulatory analysis core compliance monitoring policies and procedures drafting and maintenance advice in response to compliance-related inquiries reporting and ad hoc regulatory projects.

KEY RESPONSIBILITIES

• Manage and oversee a small team consisting of a Senior Compliance Analyst and a Compliance Analyst.
• Provide analysis and recommendations for implementation of relevant regulatory rules and resolution of various compliance-related issues.
• Develop maintain implement and update the firms policies and procedures and any other documentation designed to detect and prevent violations of securities laws.
• Oversee pre- and post-trade surveillance using Charles River and support key processes and activities such as configuring pre- and post-trade compliance rules and trading supervision.
• Monitor for breaches of asset allocation limits ensure issuer and sector concentration limits are not exceeded and verify restricted/prohibited securities are not held.
• Identify investigate and resolve compliance exceptions or breaches including escalation documentation and ensuring timely remediation.
• Implement enterprise compliance program and coordinate integration efforts with BMO.
• Work closely with the CCO to provide reporting that supports firm-wide compliance oversight.
• Lead and coordinate compliance input on and reviews of requests for proposals (RFPs) and due diligence questionnaires (DDQs) from institutional clients and prospects.
• Ensure regulatory filings are completed in an accurate and timely manner.
• Assist in building and improving all regulatory and compliance functions including identification and implementation of controls.
• Review results of internal compliance monitoring and audits and ensure follow-up actions are taken.
• Serve as a subject matter expert for colleagues across functions and collaborate with them on projects.

WHAT WERE LOOKING FOR

• Client-focused problem solver who delivers practical solutions and consistently produces thorough high-quality detail-oriented work.
• Ability to work independently in a dynamic environment demonstrating a high degree of initiative.
• Proactive mindset with a strong interest in identifying and implementing process and productivity improvements.
• Collaborative team player who fosters an environment of learning cooperation and excellence.
• Commitment to staying current on regulatory developments impacting the business.
• Understanding of NI 31-103
• Strong written and verbal communication skills.
• Highly organized with excellent time management prioritization and communication skills
• Professional mindset with a strong sense of accountability ability to meet deadlines and commitment to high ethical standards.
• Ability to work with internal and external stakeholders on sensitive matters and coordinate timely responses to information requests and process changes.
• Demonstrated ability to handle confidential and personal information with discretion and integrity.
• 57 years of compliance experience within the asset management industry.
• University degree required; CFA accounting or legal designation considered an asset.
• Intermediate to advanced knowledge of Charles River Investment Management Solution and strong proficiency in Microsoft Office particularly Excel.

WHY BURGUNDY

At Burgundy our culture is grounded in personal responsibility. We thrive in an environment where we are continuously learning and improving in service to our clients and one another.

• Work in person for a high-performing team.
• Leaders who will support your development through coaching and mentoring.
• Access to future career opportunities.
• Opportunities to do challenging work.
• Ability to make a difference and have a lasting impact.

The above represents BMO Financial Groups pay range and type.

Salaries will vary based on factors such as location skills experience education and qualifications for the role and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles the salary listed above represents BMO Financial Groups expected target for the first year in this position.

BMO Financial Groups total compensation package will vary based on the pay type of the position and may include performance-based incentives discretionary bonuses as well as other perks and rewards. BMO also offers health insurance tuition reimbursement accident and life insurance and retirement savings plans. To view more details of our benefits please visit: Us

At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting positive change for our customers our communities and our people. By working together innovating and pushing boundaries we transform lives and businesses and power economic growth around the world.

As a member of the BMO team you are valued respected and heard and you have more ways to grow and make an impact. We strive to help you make an impact from day one for yourself and our customers. Well support you with the tools and resources you need to reach new milestones as you help our customers reach theirs. From in-depth training and coaching to manager support and network-building opportunities well help you gain valuable experience and broaden your skillset.

To find out more visit us at is committed to an inclusive equitable and accessible workplace. By learning from each others differences we gain strength through our people and our perspectives. Accommodations are available on request for candidates taking part in all aspects of the selection process. To request accommodation please contact your recruiter.

Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO directly or indirectly will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid written and fully executed agency agreement contract for service to submit resumes.