Compliance Officer, Individual and High-Net-Worth Clients – Legal & Compliance
Full Time, Calgary, AB
Be Boring. Make Money.™ is our approach, but we are anything but dull. We are a diverse team of professionals—all with a shared goal: to be the best.
We celebrate our unique and independent culture and we take pride in doing things a little differently than other investment firms. Our quest for excellence means that a career with Mawer is demanding. However, interesting challenges are plentiful, and bright ideas, tenacity, diverse opinions, and teamwork are expected and rewarded regardless of title and tenure.
As Mawer continues to grow in size and complexity, we are seeking an experienced compliance professional to lead our individual client compliance program. This is an excellent opportunity to apply your experience at a top Canadian and global investment management firm. We are seeking an individual who demonstrates a commitment to our core values: act with integrity, put clients’ interests first, pursue excellence, work as a team, and think long-term.
The primary responsibility for this role is to provide compliance supervision for the individual and high-net-worth client business segment within Mawer’s discretionary portfolio management activities. The Compliance Officer reports to the Deputy Chief Compliance Officer.
- New account approvals for the individual and high-net-worth business segment
- Trade supervision and monitoring of client accounts
- Investment Policy Statement (IPS) compliance monitoring
- Anti-money laundering compliance, including advising on and monitoring client identification, suspicious transactions, risk assessments, and ongoing training for the investment counselling client team
- Conduct reviews to assess compliance with policies, procedures, and relevant rules and regulations set out by the firm’s policy manuals and applicable securities laws, regulations, and other legislation
- Update policies and procedures and implement and document related process or procedure changes
- Interpret new and updated regulatory/compliance requirements and implement into business processes within required deadlines
- Proactively provide compliance advice and consultation to business leaders and client teams
- Continuous improvement of compliance process, workflows, and resources for client teams
- Support the compliance team overall, and provide back-up for the other members of the team
Education, Skills & Qualifications
- University degree (finance, accounting, economics, or mathematics, or other specialization)
- Canadian Securities Course (CSC), Branch Managers Course (BMC); being registered as a Supervisor with IIROC may be an asset (although this is not an IIROC registered business segment).
- Minimum 7 to 10 years’ experience in compliance at a portfolio management/investment management firm in Canada
- Understand key business risks and client relationships in the individual and high-net-worth client business
- Knowledge of Salesforce, Global Relay, and Charles River compliance systems, or similar compliance systems, would be an asset
- Excellent and effective interpersonal, team, and communication skills
- Superior problem-solving and analytical skills
- Ability to interpret new regulatory requirements and implement changes to business processes
- Ability to work independently, think critically, multi-task, and make decisions in a fast-paced environment
- Strong organization and prioritization skills with exceptional attention to detail
- Ability to focus independently and also contribute effectively as part of a team
Please visit the Careers page of our website to view this posting and other opportunities. Please apply directly through the company website with your resume and cover letter by December 16, 2019. There is no need to apply in person.
- We are one of the most respected investment management firms in Canada. This role will directly contribute to our growth in discretionary portfolio management within our global investment firm.
- We provide the opportunity to learn and work alongside high-performing individuals, within a team that has consistently delivered exceptional long-term investment results and the highest levels of client satisfaction (our client retention is 99%).
- We are a highly professional meritocracy in which the quality of ideas supersedes hierarchy. At Mawer, talented individuals have the opportunity to progress quickly, regardless of tenure or experience.
- Mawer offers the potential for ownership over time based on the firm’s selection criteria.
- We have an exceptional and celebrated work culture, one that emphasizes excellence, integrity, teamwork, and long-term thinking.
Job Type: Full-time