Position: Senior Analyst, Compliance

Our client is a leading portfolio management firm, responsible for managing hundreds of billions of dollars in AUM

The Compliance team works in collaboration with portfolio managers and management to ensure that activities comply with securities legislation, internal policies and procedures, and industry practices.

Reporting to the Senior Compliance Officer, Team Lead, your role will be to actively participate in enforcing the elements of the compliance program. More specifically, you will be called upon to:

• Coordinate the monitoring of employee activities on social media in accordance with applicable regulatory requirements;
• Review and approve advertising materials in accordance with regulatory requirements in the investment sector;
• Participate in the process of handling employees' personal transactions while ensuring compliance with regulatory requirements regarding conflicts of interest;
• Participate in the development and mastery of the personal transaction and conflict of interest management tool;
• Collaborate as needed and periodically monitor portfolios to ensure compliance with investment policies and follow-up on breaches on a pre-trade and end-of-day basis;
• Complete and submit various reports to internal and regulatory authorities;
• Contribute to the writing and deployment of new compliance policies and procedures;
• Participate in the development of compliance training content;
• Write analyses, notes, and reports submitted to management;
• Contribute to the completion of compliance projects in collaboration with different teams (portfolio management, trading, and systems);
• Participate in the development and execution of various compliance tests and controls.

   Requirements:

• Bachelor’s degree in finance, economics, law, or another related field;
• At least 5+ years of relevant experience in a similar position;
• CSI courses or other courses in the financial field, an asset;
• Knowledge of Bloomberg and compliance modules or any other similar system, an asset;
• Mastery or interest in learning programming languages (Python or others);
• Strong interest in the financial field, products, and understanding of the role of different actors in the field (broker, portfolio manager, investment fund manager, custodian);
• Good knowledge of securities regulation, particularly Regulations 31-103 and 81-102, as well as legislation on money laundering and terrorist financing;
• Strong comfort with computer tools and software;
• Bilingual - English & French
• Exceptional attention to detail and analytical skills to ensure the accuracy of deliverables;
• Motivated, autonomous, and proactive, both in managing workload and professional development;
• Strong communication and interpersonal skills, and the ability to interact professionally with all levels;
• Process improvement skills and creativity in finding innovative solutions;
• Team spirit and motivated to help the team meet deadlines;
• Strong organizational skills and the ability to prioritize work and meet multiple deadlines in a fast-paced environment.

Title: Senior Vice President, Growth & Development

Reporting directly to the Executive Vice President and Head of Wealth Management, the SVP, Growth & Development is responsible for leading advisor recruitment and driving strategic expansion across the firm. This leadership role is critical in shaping and executing the long-term growth strategy by identifying, attracting, and onboarding top-tier financial advisors who embody the firm’s values, culture, and client-first philosophy.

The ideal candidate brings:

• Deep knowledge of the wealth management industry
• A well-established industry network
• A proven track record in sales, business development, and relationship management

Success in this role will hinge on the ability to drive meaningful, sustainable growth through targeted recruitment and strategic market expansion

What will your role be responsible for?

• Advance business development and acquisition strategies to recruit financial advisors and/or their practices across the firm
• Translate business strategy into actionable work programs and scalable recruitment processes
• Collaborates across Private Client Division channels to identify the capabilities needed to build a best-in-class advisor recruitment infrastructure, identify gaps, and prioritize channel activities.
• Clearly communicate our clients’ differentiated value proposition, including compensation models, technology, culture, and advisor-first approach
• Maintain an extensive industry presence to represent our client in a variety of professional forums including conferences and advisor events.
• Drive a comprehensive lead generation and nurturing system in collaboration with Branch Managers and Lead Agents.
• Build, maintain and expand referral sources for prospecting new advisors.
• Create the advisor recruitment experience for prospect home office visits.
• In collaboration with marketing, leverage digital platforms, CRM software, and data-driven insights to optimize recruitment pipeline, identify market opportunities and improve conversion rates.
• Compile, interpret and share competitive intelligence to help improve recruiting capabilities across the organization.
• Leverage insights to target recruitment activities in coordination and in support of Branch Manager and Lead agent efforts.
• Foster a culture of continuous improvement and innovation within the organization.
• Proven ability to analyze the effectiveness of the recruiting function, collaborate with senior leadership to make recommendations and then lead change measures as appropriate.
• Evaluates recruitment results and trends to improve methods for achieving recruitment goals.

Knowledge/Skills

• Strategic planning processes and tools and methodologies for strategy formulation
• Best practices for business development in a wealth management organization
• Principles of investment and operations used in the securities industry
• Economic policies, procedures, markets, and products
• Financial business analysis and financial advisor practices with business valuation methods/modeling
• Securities rules and regulations in order to conduct proper due diligence analysis of independent practices
• Internal networks and established relationships, communicating with all levels of management
• Ability to drive transformational advisor growth and execute complex recruitment strategies at scale
• Exceptional executive presence, communication, and negotiation skills
• Strategic mindset with the ability to drive both immediate wins and sustained long-term growth
• Entrepreneurial mindset with the ability to both plan and execute the day-to-day requirements associated with managing a pipeline
• Possesses an authentic interest in engaging directly with advisor prospects and internal associates in conversations about the business, careers, and culture
• Operational mind-set with the ability to identify and propose solutions for process improvement and efficiencies that will help optimize the performance of the recruitment team and the experience for advisor prospects

Abilities

• Apply Strategic Effectiveness: Using foresight, environmental awareness, thought leadership to create a compelling vision for the future, and developing distinctive strategies to achieve desired outcomes. Moreover, fostering new ways of thinking and driving change-management to transform the business.
• Be a Credible Influence: Advising and influencing with integrity and self-awareness to achieve organizational objectives. In addition, inspiring others to do their best work.
• Be Results Driven: Building capability and expertise within the team to deliver results. Having tenacity and persistence to achieve performance objectives.
• Bilingualism would be an asset.

Educational/Previous Experience Requirements

• Minimum of 15 years of progressively responsible experience in business development, sales, or sales management including experience recruiting Financial Advisors in the financial services industry.
• Experience should encompass leading teams to execute on company strategy.

Licenses/Certifications

• Successful completion of the Canadian Securities Course (CSC) and the Conduct and Practices Handbook (CPH)
• Successful completion of the Partners, Directors and Senior Officers Course (PDO)

What You Can Expect from our client

Our client offers flexible workstyles and a competitive compensation and benefits package, including:

• Comprehensive health benefits
• RRSP matching program
• Employee stock purchase plan
• Generous paid time off and volunteer days
• Discretionary bonuses
• Tuition reimbursement
• Opportunities for internal promotion
• Strong support for community involvement

Our client is committed to fostering a workplace that supports your growth, well-being, and long-term success.

Our client is a family office which has been managing an inter-generational investment portfolio for a over 15 years. It has, over the years, developed a disciplined and structured approach to investing, working from a policy-based asset allocation. Our client, which is based in Montreal, operates independently of the operating businesses with its own location, management, and administrative team. The Family Office reports to a Board comprised of family and independent members that meet regularly and interact with the Family Office in a well-structured manner.

Reporting to the Manager, Investment Reporting, the Analyst, Finance & Operations role is primarily responsible for the integrity of information collected and circulated to various business partners. Specifically, he/she will assess and take appropriate action relating to office treasury, portfolio management operations and supporting performance measurement. In addition, the analyst will assist the Office in maintaining budget modelling processes. Finally, the analyst will participate in activities to deploy capital to public markets, Private Equity investments, data integration projects and system upgrades.

RESPONSABILITIES

• Support finance and accounting teams with daily cash management forecasting and reconciliation between capital calls, distributions, and planned disbursements
• Process scheduled/periodic exception reports to take corrective actions on out-of-compliance elements such as unreconciled transactions between clearing brokers/external managers and internal book of record, securities classification, ratings, etc
• Assist in the implementation of a multipurpose quantitative analytics core (pricing, exposure, risk, back testing)
• Assist with periodic portfolio rebalancing trading and solve all transactions settlement problems
• Support quarterly investment performance reporting efforts and ad hoc reports with quality control for various committees and board meetings
• Provide assistance with private equity investments subscriptions and financial institution compliance requirements
• Monitor service fees with brokers, custodians and private equity managers
• Document new processes and assist in maintaining existing procedures
• Provide assistance in daily activities of the team

KEY REQUIREMENTS & QUALIFICATIONS

• Undergraduate degree in Finance, Business Administration or related field; high academic achievement
• Enrolment in a professional certification program (CFA, FRM, CAIA etc.), an asset
• 1-3 years experience in asset management, banking or transactions
• Knowledge of securities industry and capital markets instruments (fixed income, equities, money market, FX’s, derivative products, private equity)
• Good understanding of investment performance measurement principles (Time Weighted vs. Money Weighted, etc.)
• Programming skills and familiarity with SQL/VBA
• Knowledge of market data collection systems (Bloomberg, Eikon, etc.), an asset
• Ability to quickly achieve proficiency in a variety of computer systems
• Ability to navigate a fast-paced environment with a high level of autonomy
• Excellent focus on detail, good organizational and priority-management skills
• Effective communications skills, both written and spoken

Position: Senior Analyst, Absolute Return

Current Opportunity

Reporting to the Portfolio Manager, Absolute Return, the Senior Analyst will be responsible for conducting thorough assessments and evaluations of potential hedge fund investments. You will specifically focus on analyzing the operational aspects of external managers to identify potential risks, opportunities, and areas for improvement. This role requires a combination of financial analysis skills, operational expertise, and strong due diligence capabilities.

The ideal candidate will have a deep understanding of the hedge fund industry, strong analytical skills, excellent communication skills, and a track record of delivering superior results in a fast-paced, challenging environment.

Primary Responsibilities

• Perform comprehensive due diligence on prospective and existing hedge fund and other external fund investments at the division, with a specific focus on operational aspects such as operational infrastructure, processes, and systems to assess their efficiency, scalability, and risk management practices
• Analyze financial statements, regulatory filings, and other relevant documents to gain insights into the financial health and stability of potential investments
• Identify potential risks, operational weaknesses, and areas of improvement that could impact investment performance
• Assess the effectiveness of operational controls, governance structures, and compliance frameworks
• Collaborate with investment teams to provide insights and recommendations based on operational due diligence findings
• Prepare and present recommendations to senior management. This may include preparing written reports, creating visual aids, and delivering verbal presentations to present due diligence reports, answer questions, and address concerns related to operational aspects.
• Provide ongoing monitoring and updates on external managers’ operational performance to support investment decision-making and risk management
• Stay up to date with industry best practices and regulatory requirements related to operational risk management
• Review and analyze a variety of legal documents, including investment agreements, offering memorandums, private placement memorandums, side letters, fund structures, contracts, and other documents to ensure accuracy, compliance, and alignment with firm objectives
• Support the due diligence process by reviewing legal documents and performing background checks on potential investment opportunities, legal counterparts, and service providers. Work closely with the external legal counsel to review, draft, and negotiate terms of agreements, ensuring that all legal aspects align with the Fund’s strategy and interests.
• Collaborate with the investment, operations, and compliance teams to ensure that legal and contractual obligations are understood and properly executed
• Contribute to the teams’ capabilities and expertise by building a strong internal network with various investment and non-investment teams
• Establish and maintain effective working relationships with internal teams, external service providers, and industry contacts to gather relevant information and industry insights

Professional Requirements

• Minimum of 10 years of relevant capital markets-related experience, with a significant portion of experience in an operational due diligence role in absolute return strategy
• Solid understanding of hedge fund operations, financial markets, and investment strategies
• Familiarity with operational risk management frameworks and best practices
• Detail-oriented with exceptional research and due diligence capabilities
• Strong communication and collaboration skills
• Ability to work effectively with colleagues from a range of backgrounds and disciplines, and to be able to communicate concepts and ideas in a clear and concise manner
• Professional designations (CFA, FRM/PRM, or CAIA, obtained or in progress) are preferred
• Excellent French and English language communication skills (spoken and written)
• Availability to travel

Desirable Skills and Aptitudes

• Disciplined with intellectual curiosity; strong analytical, research, and organizational skills
• Team player with a desire to work in a collegiate collaborative environment
• Excellent communication, interpersonal and relationship management skills to interface with fund managers and internal team members are required; must be able to articulate complex issues clearly, concisely, and convincingly
• Strong qualitative judgement and decision-making skills