Senior Manager, Portfolio Compliance

• 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. 

• 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. 

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. We are committed to providing an inclusive, accessible recruitment and selection process. We welcome and encourage applications from people with disabilities. Accommodations are available on request for candidates taking part in all aspects of the recruitment and selection process. Please contact [email protected] if you require accommodation.

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.