Galliant Advisors LP is a Montreal-based investment management firm offering investment solutions for a growing client base of high-net-worth individuals and institutions. We are looking to hire a Compliance Associate to our team, who will work closely with the Investment Team and CFO.

Position Overview:

- Conduct pre-trade approval for all trades related to the company clients and trading partners

- Monitor positions against investment parameters/restrictions daily

- Monitor employee trading

- Monitor the account opening process

- Establish and document compliance processes and procedures

- Train staff on compliance related processes and procedures

- Report all compliance matters to the CCO

- Manage registrations of current advisors and changes to their registration information

- Manage review and reporting of Outside Activities

- Participate in the implementation of regulatory changes





- Ensure KYP and KYC information is maintained and monitored

- AML reporting

- Reconciliation of trades

Start Date: Immediately

Qualifications:

- Undergraduate degree in Finance or relevant field

- Detail-oriented with ability to multitask and problem-solve

- Relevant compliance work experience within the wealth management industry (considered an asset)

- Bilingual English/French

- Proficient in Microsoft Word, Excel and Outlook

- VBA experience (considered an asset)

- Canadian Securities Course (considered an asset)

Job Types: Full-time, Permanent

Benefits

- Extended health care

Flexible language requirement

- French not required

Work Location: In person

📌 Compliance Associate (Montreal)
🏢 Galliant Advisors
📍 Montreal