U.S. & Institutional Compliance Lead – Legal & Compliance
Full Time: Calgary, AB or Toronto, ON
Be Boring. Make Money.™ is our approach, but we are anything but dull. We are a diverse team of professionals—all with a shared goal: to be the best.
We celebrate our unique and independent culture and we take pride in doing things a little differently than other investment firms. Our quest for excellence means that a career with Mawer is demanding. However, interesting challenges are plentiful, and bright ideas, tenacity, diverse opinions, and teamwork are expected and rewarded regardless of title and tenure.
As Mawer continues to grow in size and complexity, we are seeking an experienced compliance professional to lead our Canadian and U.S. institutional client compliance program. This is an excellent opportunity to apply your experience in a top Canadian and global investment management firm committed to growing its institutional client services while ensuring the highest standards of regulatory compliance and client service.
We are seeking an individual who values firm culture and personally demonstrates a commitment to our core values: act with integrity, put clients’ interests first, pursue excellence, work as a team, and think long-term.
This position reports to the Chief Compliance Officer (CCO) and is part of the Legal & Compliance team. The team is responsible for supporting the CCO with the oversight and execution of regulatory compliance functions and processes for the firm as a portfolio and investment fund manager in Canada, the U.S., and Singapore.
- Institutional client compliance program development and operation, including ongoing enhancements to policy and procedures
- Compliance lead for U.S. Advisors Act, ERISA, and sub-advisory mandate oversight
- Supporting new client onboarding and implementing appropriate portfolio supervision
- Trade supervision and compliance reviews of institutional client relationships
- Advising on RFP and client development/short-list presentations for prospective clients
- Create and maintain pre and post-trade rules in Charles River or similar compliance system
- Proactively provide compliance advice and consultation, primarily for the institutional client team
- Continuous improvement of compliance processes and workflows
- Provide training and support for the compliance team and for client relationship practitioners
- Provide back-up for the other members of the Compliance team
Education, Skills, & Qualifications
- University Degree in finance, accounting, economics, law, or other related field
- Minimum 7-10 years of experience in compliance at a discretionary investment firm in Canada or the U.S.
- Experience with U.S. institutional client compliance, other institutional client experience also an asset
- Understand key business risks and client relationships in the institutional client business
- Knowledge of the Charles River compliance system or similar compliance system
- Excellent interpersonal, team, and effective communication skills
- Superior problem-solving and analytical skills
- Ability to interpret new regulatory requirements and implement changes to business processes
- Ability to work independently, think critically, multi-task, and make decisions in a fast-paced environment
- Strong organization and prioritization skills with exceptional attention to detail
- Ability to focus independently and also contribute effectively as part of a team
- We are one of the most respected investment management firms in Canada. This role will directly contribute to our growth as a global investment manager.
- We provide the opportunity to learn and work alongside high-performing individuals, within a team that has consistently delivered exceptional long-term investment results and the highest levels of client satisfaction (our client retention is 99%).
- We are a highly professional meritocracy in which the quality of ideas supersedes hierarchy. At Mawer, talented individuals have the opportunity to progress quickly, regardless of tenure or experience.
- Mawer offers the potential for ownership over time based on the firm’s selection criteria.
- We have an exceptional and celebrated work culture, one that emphasizes excellence, integrity, teamwork, and long-term thinking.
Established in 1974, Mawer Investment Management Ltd. is an independent firm that provides world-class, global investment management services across all major asset classes to a broad range of individual and institutional clients. We are proud of our reputation as one of Canada’s most respected investment management firms and strive to continually deliver long-term investment excellence, build strong client partnerships, and live our core values. Mawer currently has over $55 billion in assets under management and employs over 150 people across locations in Calgary, Toronto, and Singapore.
Applicants should visit http://www.mawer.com/careers/ to view this job posting and other Current Opportunities. Please submit your résumé and cover letter by June 26, 2019. Only applications that include all required materials will be considered.
No telephone inquiries please.
We thank all applicants and advise that only those selected for an interview will be contacted.