【贝街 MyJob Live Q&A】Director-Compliance 今晚8点, 在职者线上答疑

贝街论坛

Baskin Wealth Management is an independently owned firm operating since 1992, managing over $1 billion in customized portfolios on behalf of high net worth families.

What We Offer:

• Located near Yonge and St. Clair in Toronto, Baskin has a young and vibrant culture in a growing firm.

• We offer a comprehensive compensation program including salary, bonus, profit sharing and benefits package.

• At Baskin, we are committed to providing a diverse, inclusive and accessible workplace.

• Ensuring that at all times the firm is in compliance with all regulatory requirements for a Portfolio Manager operating in multiple jurisdictions in Canada;

• Developing, documenting and maintaining a robust set of policies reflecting new and existing regulatory requirements;

• Developing, documenting and undertaking supervisory and audit processes to ensure adherence to all policies and regulatory requirements;

• Actively participating in industry discussions to maintain awareness of new and developing regulatory initiatives;

• Ongoing communication to the CCO and management regarding policy development and business impact;

• Supporting the ongoing awareness for all staff of regulatory matters through training and regular communication;

• Supporting management in developing compliance processes in a fast-growing environment;

• Maintaining a commitment to best in class compliance culture.

Must Have:

• Post-secondary education, preferably in finance or business;

• Minimum 5 years’ experience in a compliance role with a focus on private client portfolio management;

• In-depth knowledge of the Canadian investment industry including private client discretionary management and investment fund regulation;

• Excellent written and verbal communication skills with the ability to effectively translate complex regulatory requirements;

• Strong analytical skills;

• Ability to work independently, to accept responsibility and to train and support others. 

Nice to Have:

• Completed or working towards industry-relevant course such as CPA, CFA, CIM.

My Job Live Show

Apply Now