Senior Compliance Officer

Global Alpha Capital Management is looking to hire a Senior Compliance Officer who will, over time, transition to a Chief Compliance Officer role. Reporting to the CCO, you would be immediately responsible for the firm’s ongoing regulatory requirements including all day-to-day compliance activities at Global Alpha.

Founded in 2008, Global Alpha is an investment manager based in Montreal providing investment management services to pension funds and other institutional clients. At present, the firm manages in excess of CAD $7 billion comprised of segregated accounts and private funds domiciled in Canada and the United States. Growth in client assets under management has been strong in recent years. Global Alpha is registered with the Canadian Securities Administrators (CSA) in several Canadian provinces and with the Securities and Exchange Commission (SEC).

Global Alpha is part of Connor, Clark & Lunn Financial Group Ltd. (CCLFG), a multi-boutique investment management firm with over CAD $100 billion in assets under management across its affiliated investment managers. In this role, you will work closely with both Global Alpha investment professionals and the CCLFG legal and compliance team, located in Vancouver.

What You Will Do

• Taking on immediate responsibility of core regulatory functions (e.g. wide range of CSA and SEC regulatory filings, responding to compliance trading alerts, personal trading oversight, maintaining the firm’s Policies & Procedures Manual), including monitoring regulatory updates and implementation of new procedures.
• Interacting with regulators and responding to periodic regulatory requests for information.
• Reviewing client contracts, client onboarding including AML, request for tenders, marketing materials and client report commentaries.
• Completing annual assessment of Global Alpha’s policies and procedures.
• Taking a lead role to identify, assess, advise on, act on, communicate, monitor, escalate and report on the firm’s compliance with regulatory requirements.
• Promoting a strong culture of compliance.

What You Bring

• Work Experience: Minimum of eight years of asset management compliance experience.
• Qualifications: Completion of the Partners, Directors, and Senior Officers Course or the Chief Compliance Officers Qualifying examination, Bachelor or Master’s degree in Business, Law, Finance, Accounting or a related field and/or relevant workplace experience, bilingual in French and English.
• Relationship Building: Strong relationship and stakeholder management skills with the ability to work in a team environment & influence others.
• Entrepreneurial Mindset: Willingness to “roll up your sleeves”, learn new material, take responsibility/ownership, and get involved in the details of compliance issues.
• Work Ethic: Ability to work independently and under pressure; exhibit an enthusiastic attitude, and be driven & curious in nature.
• Collaborative Communication: Strong communication skills, both verbal and written in both French and English

What we offer at Global Alpha

• Unique opportunity to join a rapidly growing asset manager with an entrepreneurial spirit
• Opportunity to become a partner in time.
• Competitive compensation package.
• Retirement savings program with employer matching.
• Comprehensive medical, dental and vision group insurance for you and your family.
• Private annual health checkup for you and your spouse.
• Generous time off to help you recharge.

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, and apply using the link below:

https://cclfg.cclgroup.com/careers/opportunities/posting/?gnk=job&gni=8a78859e86e8246101870fb7936135a7&gns=CFA+Vancouver

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.