Senior Portfolio Compliance Analyst

Connor, Clark & Lunn Financial Group
Vancouver, British Columbia (CA)
To be discussed
09 Aug 2022
08 Sep 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time

We are looking for a Senior Portfolio Compliance Analyst to join our Portfolio Compliance Team at Connor, Clark & Lunn Financial Group (“CC&LFG”). 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

  • Using Charles River to create and monitor pre-trade and post-trade compliance rules across all asset classes and security types. These compliance rules are derived from client mandates, global regulations, industry best practices, and firm wide guidelines.
  • Monitoring and preparing shareholder disclosure filings and other regulatory reports.
  • Implementing, maintaining and continuously improving portfolio compliance related procedures and controls.
  • Taking a lead role in projects that vary in scope and size.
  • Working with various business groups within the company (portfolio management, operations, legal). You will be answering their compliance related questions, resolving issues, and will be working with them to develop new compliance related initiatives.
  • Although this is not a people management role, you will be providing guidance, instruction and direction to compliance analysts on the team.

What You Bring

  • A Passion for Compliance – You have five years or more experience in Asset Management performing a compliance related function.
  • Risk Intelligent Mindset – You have a solid understanding of portfolio compliance and its role within a broader risk management framework.
  • A Passion for Operational Excellence – You display a professional attitude where attention to detail, accuracy and timeliness are critical success factors in achieving your goals and objectives.
  • Critical Thinking – You possess an analytical mindset and like to solve problems.
  • Curiosity – You are inquisitive and are not afraid to ask questions.
  • Collaborative Communication – You communicate effectively and have a collaborative sprit that helps you to work well with others.
  • Project Management – You have strong project management skills.
  • Organization - You are organized and can manage multiple tasks and interruptions.
  • Technology Savvy – You are able to pick up new systems and tools quickly. You have advanced computer skills with an emphasis on MS Excel. Charles River experience is an asset.

Who We Are

Connor, Clark & Lunn Financial Group Ltd. (“CC&LFG”) provides a broad range of traditional and alternative investment products and services to individuals, advisors and institutional investors. Our business comprises of eleven institutional investment affiliates that are responsible for investment decision making and client service, as well as distribution affiliates including Connor Clark & Lunn Private Capital, which provides multi-asset class investment solutions and Connor, Clark & Lunn Funds which distributes single-strategy investments to individual investors. CC&LFG partners with each of its affiliates by contributing world class operations, product development expertise, broad distribution, and business management. We have grown from $29 billion in assets and 200 people in 2008 to approximately $96 billion in assets and over 700 people today. This has been accompanied by a high level of change in technology, types of assets managed, trading activity and geographic growth. As we look forward, we can see both opportunities and challenges for further growth that only reinforce our commitment to attracting, retaining and motivating the most talented people.

This is best achieved by:

  • A High-Quality Environment: To work with people who we hold in high regard; to enjoy the time that we spend at work; to focus on productive activities without the distraction of politics and bureaucracy; to treat each other with respect.
  • An Opportunity to Succeed: To do work that has value and which presents the opportunity for professional growth and development.
  • Recognition and Reward: To recognize each person’s contribution and to align compensation with contribution.

CC&L 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.

To apply for this position, please submit your resume and cover letter as one PDF.

We thank all applicants in advance for their interest, but only those candidates shortlisted for interviews will be contacted. No telephone calls or recruitment agencies will be accepted.

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