REF #1495

Our Client Is an independent asset management firm headquartered in Montreal, specializing in traditional and alternative investment strategies.

Responsibilities

Support the day-to-day administration of the compliance function

Assist with daily, monthly, quarterly, and annual compliance monitoring, testing, and documentation

Support client onboarding and review subscription agreements and KYC documentation

Maintain client documentation including KYC forms, investment management agreements, and related records

Assist with initial and ongoing due diligence of third‑party service providers

Maintain and update compliance policies, procedures, and manuals

Maintain compliance logs (personal trading, outside business activities, conflicts of interest, etc.)

Support registration obligations and ongoing regulatory reporting

Participate in internal audits and external regulatory examinations

Contribute to compliance training initiatives and promote a strong culture of compliance

Collaborate with portfolio management, operations,



and finance teams to support compliance activities

Assist with Business Continuity Plan (BCP) planning and testing

Support special projects as assigned

Qualifications

Bachelor’s degree in Finance, Business, Law, or a related field

3–5 years of compliance experience within an Investment Fund Manager (IFM), Portfolio Manager (PM), and/or Exempt Market Dealer (EMD)

Exposure to regulatory examinations and audits

Strong analytical, organizational, and communication skills

Ability to work effectively in a lean, collaborative environment

Ability to manage multiple priorities and meet deadlines

Canadian Securities Course (CSC) and/or Conduct and Practices Handbook (CPH) considered an asset

Based in Montreal

Seniority level

Associate

Employment type

Full time

Job function

Legal

Industries: Staffing and Recruiting and Legal Services

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📌 Compliance Officer – Responsable, conformité (Montreal)
🏢 BJRC Recruiting
📍 Montreal