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About the Role
CC&L FG is seeking a Senior Manager, Portfolio Compliance to lead a global compliance operation, critically assess and improve controls, and implement leading practices. This role offers significant scope and the opportunity to evolve a growing team.
Responsibilities
- Shape the strategic direction of the function and be accountable for its delivery.
- Translate strategy into operating reality and lead a global team, collaborating with various business partners.
- Own the delivery of the function's target operating model, ensuring team alignment and consistent execution.
- Oversee the operation of the firm's portfolio compliance framework, including pre-trade and post-trade monitoring via Charles River (CRIMS).
- Evolve the Shareholder Disclosure program through FundApps, maintaining accountability for process integrity.
- Manage and oversee a growing Portfolio Compliance team across multiple locations.
- Lead team performance and development, including coaching, mentoring, goal setting, and talent planning.
- Evolve and progress portfolio compliance policies and procedures, driving consistency in interpretation and governance.
Requirements
- 10+ years of experience in portfolio or investment compliance within investment management or financial services.
- Deep experience in compliance frameworks, monitoring systems, and shareholder disclosure obligations.
- Progressive people leadership experience, including coaching, mentoring, performance management, and team development.
- Experience building and maintaining productive relationships across business units and with stakeholders.
- Ability to engage teams, communicate ideas effectively, and challenge the status quo.
- Skilled at analyzing processes, identifying root causes, and implementing solutions.
- Strong communication skills, with excellent writing, listening, and presentation abilities.
- Fluency in compliance systems (Charles River preferred), comfortable with data, order management systems, and reporting tools.
- Curiosity about AI and experimenting with new tools.
Skills
- Portfolio Compliance
- Investment Compliance
- Compliance Frameworks
- Monitoring Systems
- Shareholder Disclosure
- People Leadership
- Coaching
- Mentoring
- Performance Management
- Team Development
- Relationship Building
- Communication
- Process Analysis
- Problem Solving
- Charles River (CRIMS)
- FundApps
- AI
Location
- Vancouver
- Toronto
- Gurugram
Work Type
- Hybrid
Experience Level
- Senior Manager
- 10+ years
Education Level
- CFA designation or relevant compliance/risk qualification is an asset.
Salary/Compensations
- $150,000 to $180,000
- Annual performance bonus
About the Company
- Connor, Clark & Lunn Financial Group (“CC&L FG”) is a leading financial services firm.
- The company is committed to creating a diverse and inclusive environment.
Equal Opportunity
- All qualified applicants will receive consideration for employment without regard to gender, ethnicity, religion, sexual orientation or expression, disability, or age.