Compliance Officer – Responsable, conformité

REF #1495 Our Client Is an independent asset management firm headquartered in Montreal, specializing in traditional and alternative investment strategies. Responsibilities Support the day-to-day administration of the compliance function Assist with daily, monthly, quarterly, and annual compliance monitoring, testing, and documentation Support client onboarding and review subscription agreements and KYC documentation Maintain client documentation including KYC forms, investment management agreements, and related records Assist with initial and ongoing due diligence of third‑party service providers Maintain and update compliance policies, procedures, and manuals Maintain compliance logs (personal trading, outside business activities, conflicts of interest, etc.) Support registration obligations and ongoing regulatory reporting Participate in internal audits and external regulatory examinations Contribute to compliance training initiatives and promote a strong culture of compliance Collaborate with portfolio management, operations, and finance teams to support compliance activities Assist with Business Continuity Plan (BCP) planning and testing Support special projects as assigned Qualifications Bachelor’s degree in Finance, Business, Law, or a related field 3–5 years of compliance experience within an Investment Fund Manager (IFM), Portfolio Manager (PM), and/or Exempt Market Dealer (EMD) Exposure to regulatory examinations and audits Strong analytical, organizational, and communication skills Ability to work effectively in a lean, collaborative environment Ability to manage multiple priorities and meet deadlines Canadian Securities Course (CSC) and/or Conduct and Practices Handbook (CPH) considered an asset Based in Montreal Seniority level Associate Employment type Full-time Job function Legal Industries: Staffing and Recruiting and Legal Services #J-18808-Ljbffr