Reporting to the Head of Compliance, the Manager, Trading Compliance will lead a team of 3-5 professionals ensuring adherence to regulatory and client-mandated investment guidelines across multiple portfolios. This role combines leadership with hands-on execution, requiring strong regulatory expertise and the ability to drive process improvements in a dynamic environment.

The Manager will oversee pre- and post-trade compliance monitoring, leveraging systems such as Sentinel or Charles River, and ensure timely completion of all activities. Responsibilities include supervising regulatory reporting, implementing and maintaining controls, and updating procedures in response to regulatory or operational changes. The role requires close collaboration with Legal, Portfolio Management, Trading, Operations, and Risk teams to address compliance matters proactively. Additional duties include preparing compliance reports for stakeholders, responding to client and auditor inquiries, and leading projects such as system upgrades, automation of compliance checks, and workflow enhancements. Developing advanced Excel tools and staying current on regulatory developments are key aspects of the position.

Qualifications:

Bachelor's degree in Finance or related field; CFA, CPA, or FRM preferred
5-10 years of compliance experience in portfolio management or securities industry
Proven experience managing and developing a team of 3-5 professionals
Strong knowledge of investment and securities regulations; operational knowledge an asset
Advanced Microsoft Office skills, including Excel automation
Excellent English communication; French required for Montreal-based roles
Ability to work under pressure and handle sensitive information

Hybrid work environment with four days in-office per week. For Quebec roles, French proficiency (spoken and written) is mandatory, with working English required for global collaboration.

Larson Maddox

Open Positions

Compliance Manager, Global Asset Manager