Position: Analyst, Middle Office and Treasury Operations

Description:

Reporting directly to the Senior Manager, Middle Office and Treasury Operations, the individual in this role will be responsible for providing operational support to both middle and back office activities. This includes managing and supporting trades, overseeing banking and cash functions, handling derivative and collateral processes, and ensuring compliance with legal and investment reporting. Additionally, the individual will be integral in documenting, maintaining, and enforcing key controls, policies, and procedures.

The ideal candidate is a collaborative team player with outstanding communication abilities, strong problem-solving and analytical thinking, and great attention to detail. You are organized, proactive, and adaptable. You excel at meeting deadlines, even during peak periods, and have a strong work ethic.

This is a position that will enable you to grow and get to know our dynamic organization and industry.

Primary Responsibilities:

• Trade Management and Support
  • provide trade support for traders and portfolio managers, using Bloomberg AIM
  • ensure timely processing and monitoring of trade settlement with the custodian and internal systems
  • conduct trade matching  with the brokers and custodian
  • resolve trade breaks with the brokers and custodian
  • establish and monitor key controls and procedures for trade management
• Bank and Cash Operations
  • provide daily cash projection and long-term projection for liquidity risk management
  • reconcile settlement cash with the custodian and internal accounting system
  • manage wire payments, using various bank and custodian systems
  • support processing of repurchase trading and securities lending activities surrounding trade settlement, collateral, and fee revenues
  • manage petty cash, cheque deposits, and other administration activities
  • establish and monitor key controls and procedures for bank and cash operations
• Derivatives and Collateral Operations
  • support derivative (listed and OTC) trade processing for traders and portfolio managers
  • monitor and settle daily margin requirements with Futures Clearing Merchants (FCM)
  • manage collateral exchanges with counterparties and custodian
  • issue and receive margin calls with counterparties
  • monitor Market-to-Market (MTM) exposure and dispute resolution with counterparties
  • assist in the negotiation of ISDA/CSA, GRMA, and GMSLA across all counterparties
  • establish and monitor key controls and procedures for derivative and collateral processes
• Legal, Investment Compliance, Middle Office Support
  • support the production, administration, and maintenance of various risk and performance attribution reports as required
  • support the implementation of various investment or risk management strategies
  • monitor investment guidelines across all internal and external portfolios as required
  • perform and support internal hedging functions

Professional Requirements:

• Bachelor’s Degree in a field related to Finance or Business Administration or equivalent work experience
• Strong understanding of derivatives. Successful completion of the Derivatives Fundamentals course or equivalent course(s), an asset.
• Minimum 3 to 5 years of experience in a back office/middle office environment in the securities industry and relevant operations experience, required
• Hands-on experience in a trade order management system (i.e., Bloomberg AIM or equivalent), an asset
• Bilingual (French and English)

Desirable Skills and Aptitudes:

• Good understanding of investment management platforms and associated cash, collateral, settlement, and reconciliation management components
• Good understanding of investment management principles and capital markets
• Strong understanding of derivative instruments including but not limited to fixed income, equities, currencies, and credit
• Familiarity with both front and back office systems and procedures
• Ability to work collaboratively with cross-functional investment and administrative teams
• Ability to work with software such as Jira or equivalent, for incident and issue tracking management.
• Familiarity with tools used in investment and risk management (Bloomberg, etc.)
• Understanding of documentation required to implement investment or risk management strategies such as, but not limited to, ISDA agreements, securities lending arrangements
• Must be a keen, self-starting, and highly motivated individual, capable of working efficiently under frequent tight deadlines
• Strong computer aptitude with proficiency in Microsoft 365 suite (Excel, Word, Outlook, Teams)

Position Summary:
Our client is seeking a Senior Manager, Accounting to help strengthen and lead core accounting and operational finance activities. The incumbent will be responsible for ensuring the integrity of financial reporting and supervising the production of the financial statements.

This individual will collaborate with senior leadership, external partners, and internal teams to support the effective management of finance operations.

Key Responsibilities:

• Oversee the day-to-day operations of the finance and accounting team, ensuring adherence to best practices and internal controls.
• Supervise the timely and accurate preparation of monthly, quarterly, and annual financial statements.
• Enhance and implement accounting policies, internal processes, and compliance frameworks in line with evolving regulatory requirements and business needs.
• Manage banking accounts, oversee cash flow and debt management, and optimize treasury functions.
• Provide financial insights and reporting to support strategic planning, business decision-making, and executive presentations.
• Work with tax advisors on corporate structuring and tax planning initiatives.
• Lead and develop team members, fostering a culture of continuous improvement and professional growth.

Qualifications:

• CPA designation with a bachelor’s degree in accounting or finance.
• Minimum of 3 years’ experience in a managerial position
• Experience working within multi-entity environments or complex organizational structures.
• Experience working with financial systems
• Bilingualism (English and French) considered an asset.

Title: (Chief) Compliance Officer

Our client

Founded in 1995, our client is an independent wealth management firm based in Montreal. They specialize in empowering Canadian professionals, executives, entrepreneurs, and retirees with comprehensive, integrated financial solutions.

Our client offers a suite of tailored services including:

• Portfolio Management
• Financial Planning
• Tax Planning
• Additional Personalized Care

The (Chief) Compliance Officer role is primarily focused on the compliance oversight of their wealth management firm.

Key responsibilities:

The (Chief) Compliance Officer role is divided into three main areas:

1. Firmwide Compliance Oversight

• Ensure all operations comply with legal and regulatory standards.
• Oversee the implementation of compliance policies and procedures

• Oversee compliance audits and risk assessments.

2. Firmwide Compliance Training

• Develop and deliver compliance training programs for staff.
• Ensure ongoing education about regulatory changes and compliance best practices.

• Manage relationships with regulatory bodies (e.g., AMF, OSC).
• Handle all necessary filings, attestations, and reports as mandated by NI 31-103.
• Coordinate with external auditors for compliance checks and implement any required changes.

Qualifications:

• Be an existing CCO or have the ability and background to immediately qualify as a CCO
• Completion of the PDO Exam or CCO Qualifying Exam with relevant experience.
• At least 5 years of experience in the securities industry, with 36 months in a compliance role
• Strong understanding of financial regulations and ability to coordinate work with internal and external financial, legal and regulatory participants.
• Excellent communication and interpersonal skills.
• Bilingual proficiency in English and French.
• Comfort with technology and adaptability to new systems.

Compensation & Benefits

• Competitive compensation package
• RRSP contributions
• Comprehensive benefits including health, dental, drug, and vision coverage.
• Opportunity for ownership through shareholder status.
• Support for professional development.

• Convenience: Free on-site parking for stress-free commuting.
• Professional Growth: Coverage for professional development courses to support your career advancement.

Title: Financial Planner

A career as a Financial Planner, you will play an important role with your clients. Through the 7 fields of financial planning, you will work closely with the team to help and advise your client in a distinctive and personalized way in achieving their life goals through the development of their financial plan. 

Your work will allow you to develop your business relationships, your entrepreneurship, your advisory role and to leverage your leadership. In this role, you will join our client where you will be recognized and where you can make a positive impact!

Your job

• Realize personalized financial planning that will meet the needs and objectives of your clients
• Identify clients' investment and financing needs in order to offer them the best financial planning solutions
• Identify and exploit business development opportunities to increase the number of new customers and grow the volume of existing portfolios
• Keep up with changing customer needs in order to offer adapted solutions and an extraordinary customer experience
• Ensure the application of quality of service and operational quality standards, as well as compliance and risk management rules

Your team

As part of a large team of colleagues in the Personal Banking sector, you will report to the Financial Planners Manager. You will be responsible for the clientele of three branches in the Oakville region (Sheridan Garden Drive, Winston Churchill, Fairview).

Our learning-by-doing training programs enable you to master your job. Access to colleagues with different expertise, experience and profiles will enrich your development in every way.

Prerequisites

• Bachelor's degree (or equivalency recognized by FP Canada) as well as relevant experience in business development in the field of financial advisory services
• Certified Financial Planner (CFP) designation or on track to become CFP in the next 12 months, or QAFP, PFP, and CIFP
• Mutual Funds Representative (MFR) License
• Portfolio management experience with business development objectives to achieve
• Good team player and have a collaborative spirit.

This position requires you to be present in the workplace to fulfill client and operational needs. 

Our client wants to contribute to your quality of life by offering you as much flexibility as possible in your work. For example, our client offers work schedule arrangements to help you achieve work/life balance and flexible leave that you can take when it’s important to you.

Your benefits

In addition to competitive compensation, upon hiring you’ll be eligible for a wide range of flexible benefits to help promote your wellbeing and that of your family.

• Health and wellness program, including many options
• Flexible group insurance
• Generous pension plan
• Employee Share Ownership Plan
• Employee and Family Assistance Program
• Preferential banking services
• Opportunities to get involved in community initiatives
• Telemedicine service
• Virtual sleep clinic