Conseiller.ère, Conformité réglementaire mondiale - Global Regulatory Compliance, Counselor

Job summary

Monitor and test regulatory controls, oversee KYC and client onboarding documentation, track compliance matters, identify gaps, and review client complaints. Support regulatory requests and examinations, deliver compliance training to investment professionals, and help maintain compliance policies, procedures, and related materials.

Job details

Conseiller.ère, Conformité réglementaire mondiale Location: Montréal/Toronto Notre client Est un gestionnaire d’actifs indépendant de premier plan, reconnu pour son expertise en investissement, son approche entrepreneuriale et sa présence à l’échelle mondiale. Responsabilités Assurer la surveillance et les tests des contrôles liés aux obligations réglementaires. Superviser les processus liés au KYC, à l’intégration des clients et à la documentation requise. Effectuer le suivi des dossiers de conformité et identifier les lacunes nécessitant des mesures correctives. Gérer la révision des plaintes des clients. Participer aux demandes, examens et enquêtes réglementaires, notamment auprès de l’AMF et de l’OSC. Développer et offrir des formations en matière de conformité aux gestionnaires de portefeuille et aux conseillers en placement. Contribuer à la mise à jour des politiques, procédures et documents de conformité. Exigences 5 ans ou plus d’expérience en conformité réglementaire ou dans un domaine connexe. Expérience dans le secteur de la gestion d’actifs fortement privilégiée; expérience bancaire ou dans les services financiers également considérée. Bonne connaissance du Règlement 31-103 et des exigences en matière de KYC. Expérience en matière de plaintes et demandes réglementaires. Exposition aux examens et sondages réglementaires de l’AMF ou de l’OSC, un atout. Bilinguisme français/anglais. Avantages Modèle de travail hybride. Rémunération compétitive. Programme d’achat d’actions pour les employés. Régime de retraite avec contribution de l’employeur. Assurance santé avec participation de l’employeur. Compte bien-être annuel. Horaire d’été : vendredis après-midi libres. // Global Regulatory Compliance, Counselor Our Client Is a leading independent asset management firm, recognized for its investment expertise, entrepreneurial approach, and global presence. Responsibilities Monitor and test controls related to regulatory obligations. Oversee KYC, client onboarding, and required documentation processes. Monitor compliance matters and identify gaps requiring remediation. Manage the review of client complaints. Participate in regulatory requests, examinations, and surveys, including those from the AMF and OSC. Develop and deliver compliance training to portfolio managers and investment counsellors. Contribute to the ongoing development of compliance policies, procedures, and related materials. Requirements 5+ years of experience in regulatory compliance or a related field. Strong preference for asset management experience; banking or financial services experience also considered. Strong knowledge of National Instrument 31-103 and KYC requirements. Experience handling client complaints and regulatory requests. Exposure to AMF or OSC regulatory examinations and surveys is an asset. Fluency in both French and English (for candidates located in Montreal). Benefits Hybrid work model. Competitive compensation. Employee Share Purchase Plan. Pension plan with employer contributions. Health insurance with employer contribution. Annual wellness account. Summer schedule: Friday afternoons off. Ref LI#1831

What you’ll do

Monitor and test regulatory controls, oversee KYC and client onboarding documentation, track compliance matters, identify gaps, and review client complaints. Support regulatory requests and examinations, deliver compliance training to investment professionals, and help maintain compliance policies, procedures, and related materials.

Requirements

Requires at least five years of regulatory compliance or related experience, with asset management experience strongly preferred; banking or other financial services experience is also considered. Candidates should know National Instrument 31-103 and KYC requirements, have experience with complaints and regulatory requests, and be fluent in French and English for Montreal-based roles.

Benefits

• Hybrid Work Model
• Competitive Compensation
• Employee Share Purchase Plan
• Employer-Contributed Pension Plan
• Employer-Contributed Health Insurance
• Annual Wellness Account
• Summer Schedule With Friday Afternoons Off

Listed skills

• Regulatory Compliance · Preferred
• Client Onboarding · Preferred
• Compliance Documentation · Preferred

Other relevant skills

Identified from the job description. Confirm important requirements above.

• Regulatory Compliance
• Regulatory Control Monitoring and Testing
• Know Your Customer (KYC)
• Client Onboarding
• Compliance Documentation
• Compliance Gap Identification and Remediation
• Client Complaint Review
• Regulatory Requests and Examinations
• AMF and OSC Regulatory Processes
• Compliance Training
• Portfolio Management
• Investment Counselling
• Compliance Policies and Procedures
• National Instrument 31-103
• French-English Bilingualism

Job areas

• Legal
• Finance & Accounting

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