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Deputy Chief Compliance Officer in Calgary at Jones Graham Consultants Inc

Date Posted: 3/28/2018

Job Snapshot

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Job Description

Category: Financial Services

Location: CALGARY Alberta Canada

The Deputy Chief Compliance Officer will be responsible managing a team of compliance professionals to provide compliance and regulatory support to the CCO and UDP in developing and executing an effective compliance program. This leadership role will help develop and manage the compliance program for our client's institutional client team and its investment fund management functions.

This position can be located in Calgary or Toronto.

Primary Responsibilities

  • Research and draft new and enhance existing policies or procedures for an Investment Fund Manager, Portfolio Manager and an Investment Adviser in the U.S.
  • Lead the risk assessment, identification and prioritization process of compliance activities for the annual compliance program
  • Lead the review of the firm’s Policy Manual at least once per year
  • Play a leadership role in identifying, researching and resolving issues of regulatory compliance and risk mitigation in a collaborative manner and in the best interests of the business and our clients
  • Oversee portfolio and/or trade supervision and compliance reviews as part of the firm’s overall compliance risk management and supervision program
  • Create, update and approve rules in Charles River trading system for regulatory and client restrictions
  • Review of institutional client RFPs, shortlist presentations, marketing, and advertising materials
  • Oversee the Anti-Money Laundering compliance program with policy guidance, client identification, suspicious transaction reviews and risk assessments
  • Oversee compliance reviews for business segments to assess compliance with the policies and procedures and test compliance with relevant rules and regulations
  • Research and interpret new, amended or proposed regulatory requirements, and provide guidance to the CCO and business leaders
  • Respond to compliance inquiries from regulators and clients
  • Continuously improve our compliance processes and workflows
  • Train and support other team members and provide backup coverage when needed


  • Undergraduate degree (preference in law, finance, accounting, or economics)
  • Canadian Securities Course (CSC), Investment Funds Course or other relevant industry courses and certifications are strongly preferred
  • MBA or Chartered Financial Analyst (CFA) would be an asset

 Skills & Qualifications

  • Minimum 10 years’ experience in regulatory oversight and risk management at a portfolio manager and/or investment fund management firm in Canada.
  • Minimum 5 years’ experience in managing a team of three or more people
  • Experience in writing policies for Canadian and U.S. securities regulations
  • Experience in assessing compliance with Canadian securities laws and regulations
  • Knowledge of discretionary investment management services
  • Experience with institutional clients including pension plans, foundations, subadvisor relationships, and insurance companies
  • Knowledge of regulations pertaining to mutual fund and pooled fund products
  • Knowledge of US regulations for an SEC-registered Investment Advisor firm would be an asset
  • Knowledge of Charles River Trading System, or similar trading system, and email monitoring experience with Global Relay System would be an asset
  • Proficient in MS Office, particularly Excel
  • Excellent interpersonal, written and oral communication skills, including policy writing experience
  • Results-oriented with demonstrated problem-solving and analytical skills
  • Strong time management and project management skills
  • Ability to think critically, multi-task, and make decisions in a fast-paced environment
  • Strong organization and prioritization skills with exceptional attention to detail
  • Ability to work independently and as part of a team.

Details Apply Now