Assistant Manager, Portfolio Compliance

We are looking for an Assistant Manager Portfolio Compliance to join our Portfolio Compliance Team at Connor Clark & Lunn Financial Group. Compliance plays a critical role in the investment process and in this position you will have the opportunity to work alongside our institutional portfolio managers and affiliate compliance officers. The role of compliance continues to evolve in complexity and importance. This is a fantastic opportunity to be part of a growing team whose scope and visibility continues to increase!

What You Will Do:

• Configure maintain and monitor pretrade and posttrade compliance rules in Charles River based on client mandates regulatory requirements and firm policies including account mapping and periodic rule reviews.

• Review and interpret client guidelines IMAs and applicable regulatory requirements to ensure compliance rules and monitoring remain accurate effective and up to date.

• Perform ongoing portfolio compliance monitoring including investigation and resolution of breaches adhoc compliance queries and preparation of internal client and regulatory compliance reports.

• Support the testing implementation and ongoing enhancement of compliance monitoring processes including identifying opportunities for efficiency improvements and automation.

• Utilize FundApps to monitor and report beneficial ownership short selling and takeover panel disclosures in accordance with regulatory requirements.

• Collaborate with Portfolio Management Operations Legal and Compliance colleagues to resolve issues support onboarding and change activity and contribute to projects of varying scope and complexity.

• Contribute to the maintenance and continuous improvement of portfolio compliance procedures controls and documentation and provide guidance and knowledge sharing to team members as appropriate.

What You Bring:

• Mandatory hands-on experience in investment compliance rule coding within Charles River Investment Management Solution (CRIMS) supported by a strong understanding of system workflows configurations and key parameters.

• Working knowledge of global regulations including UCITS 1940 Act and NI 81-102 etc. with the ability to interpret and translate regulatory requirements into compliance rules within monitoring systems.

• Solid understanding of portfolio compliance monitoring processes including interpretation of Investment Management Agreements (IMAs) and client guidelines.

• 8 years of relevant experience in the investment management industry with at least 6 years focused on investment compliance and strong expertise in investment products.

• Strategic mindset with strong facilitation analytical and data-gathering capabilities.

• Strong problem-solving skills with high attention to detail and the ability to perform under pressure and meet tight deadlines.

• A CFA qualification or a Bachelors degree in Business or Finance is preferred.

• Strong verbal and written communication skills with the ability to communicate and present effectively at the business level.

• Proven ability to collaborate effectively within a team while also working independently and taking ownership of initiatives.

• Highly self-driven with strong organizational prioritization and time management capabilities and the flexibility to adapt to evolving priorities.

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For a closer look at how you can build your career with us we invite you to explore .

CC&L Financial Group is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to gender ethnicity religion sexual orientation or expression disability or age.

Your application will be reviewed by a member of the hiring team - AI is not used in the screening assessment or selection of applications at this time.

Required Experience:

Manager

Employment Type : Full Time
Experience: years
Vacancy: 1