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Senior Manager, Portfolio Compliance

Toronto, Ontario, Canada
 
Connor, Clark & Lunn Financial Group (“CC&L FG”) is looking for a Senior Manager, Portfolio Compliance to take on a newly defined role within our Operations Risk Group. The ideal candidate is a strong leader and communicator who can shape the strategic direction of the function alongside the Principal and Director, and then own its delivery, running a global compliance operation, critically assessing and improving compliance controls, and implementing leading practices across the Portfolio Compliance team and Investment Operations. This is a fantastic opportunity to step into a role with significant scope and to continue the evolution of a team whose visibility and importance continue to grow. 

What You Will Do 
  • A senior leadership role that helps shape the strategic direction of the function and is accountable for delivering it. You will translate strategy into an operating reality and lead a global team, working closely with multiple business partners including portfolio managers, compliance officers, client servicing staff, legal, information technology, and other middle and back-office teams.  
  • Own the delivery of the function's target operating model, turning strategic direction set with the Principal and Director into day-to-day practice, and ensuring the managers and their teams stay aligned and execute consistently across locations.  
  • Oversee the operation of the firm's portfolio compliance framework, including pre-trade and post-trade monitoring through Charles River (CRIMS) across all asset classes, strategies, and security types. 
  • Evolve the Shareholder Disclosure program, including beneficial ownership, short selling, and takeover panel disclosures through FundApps, maintaining accountability for the integrity of the disclosure process across affiliates. 
  • Manage and oversee a growing Portfolio Compliance team, currently 3 managers and 10 staff in Vancouver, Toronto, and Gurugram. The team covers compliance rule coding, monitoring and reporting, shareholder disclosure, and the compliance aspects of projects, fund launches, and other undertakings across the firm. 
  • Lead the performance and development of the team, including coaching and mentoring the 3 managers, setting goals and expectations, managing performance, and supporting talent planning across the team.  
  • Evolve and progress portfolio compliance policies and procedures in line with business and industry developments, and drive consistency in how investment constraints are interpreted, coded, monitored, and governed across the firm. 
What You Bring 
  • A genuine passion for compliance done well, backed by 10+ years in portfolio or investment compliance within investment management or financial services, with deep experience in compliance frameworks, monitoring systems, and shareholder disclosure obligations. You bring a high bar and the drive to raise it, pushing the function and the team to keep improving, not just keep running. 
  • Progressive people leadership experience, including coaching, mentoring, performance management, and team development, ideally across multiple locations. 
  • A CFA designation or completion of a relevant compliance or risk qualification is an asset. 
  • Collaborative and relationship-focused, experienced in building and maintaining productive relationships across business units and with internal and external stakeholders. 
  • Influencer and thought leader, able to engage teams across all levels, communicate ideas effectively, and confidently challenge the status quo. 
  • Continuous improvement mindset, skilled at analyzing processes, identifying root causes, and implementing solutions to achieve short- and long-term goals. 
  • Strong communication skills, with excellent writing, listening, and presentation abilities across all organizational levels. 
  • Technology savvy, fluent in compliance systems (Charles River preferred), comfortable with data, order management systems, and reporting tools, and curious about AI, including experimenting with new tools to strengthen the compliance function. 

 

The salary range for this position is $150,000 to $180,000. The salary range provided reflects the base salary range for this position as required by legislation. In addition, there is an annual performance bonus which contributes to the total compensation for this position. Further questions may be directed to the HR team during the interview process. 

#LI-HYBRID #LI-RD1

For a closer look at how you can build your career with us, we invite you to explore cclgroup.com.  

CC&L Financial Group 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.  

Your application will be reviewed by a member of the hiring team - AI is not used in the screening, assessment or selection of applications at this time.  

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