Caldwell Investment Management Ltd. is committed to the principles of employment equity and diversity. We are dedicated to removing barriers in the recruitment and selection processes. We encourage members of equity seeking groups, including people with disabilities, to apply. Should you require accommodation, we will take into account your accessibility requirements. If we call you for an interview or any selection process, please notify us about your accommodation needs.
Our Company is seeking a Chief Compliance Officer to join our team and lead the compliance function. This position requires a compliance expert who understands the need to leverage their regulatory knowledge and compliance experience to positively influence risk decisions. Operational leadership experience is an asset. This job reports directly to the CEO and the Board of Directors. Responsibilities include but are not limited to performing compliance risk assessments, policy development, monitoring, testing, reporting, regulatory tracking, training; and balancing vendor, business and legal considerations.
Established in 1990, Caldwell Investment Management Ltd (‘Caldwell’) provides investment management services to Canadian and international retail and institutional investors, including financial institutions, public and private pension funds, endowment funds, foundations and private family accounts.
Caldwell Investment Management Ltd. is registered as a portfolio manager and investment fund manager with the Ontario Securities Commission, its principal regulator and is also registered as a portfolio manager in other provinces where it does business. Caldwell is a wholly owned subsidiary of Caldwell Financial Ltd, a majority employee-owned firm.
Key Responsibilities for the Position:
• Leads the compliance function: maintaining and developing compliance policies and procedures as required;
• Provides strategic direction and recommendations to the President/CEO regarding operating plans;
• Conducts financial reviews and develops business cases for operational continuous improvement initiatives.
• Ensures all regulatory reporting is accurate, complete and timely;
• Attends and participates in Board of Director’s meetings;
• Provides support and reporting to the firm’s Independent Review Committees;
• Educates and supports personnel on compliance matters in addition to promoting policy and procedures in terms of understanding, engagement and application;
• Evaluates, develops and maintains high level risk management observation and reporting;
• Has and maintains strong relationships with the regulators and other members of industry;
• Maintains strong working relationships with external legal counsel for the funds; and
• Promotes and ensures effective communications and collaboration between departments.
• Ensures Portfolio / Investment Management compliance: Policy management, Maintenance of Compliance Manual & firm P&P; Compliance program maintenance and reporting; Conflict supervision (trading practices, proxy voting, grey/lists, private equity, manually priced securities, G&E, personal trading, etc.); Board & TMOC reporting; ensures regulatory filings & continuous disclosures are completed
• Ensures Investment Fund compliance: Policy management (creation, update, distribution, training, etc.); Maintains Compliance Manual & firm P&P; Monitors and reviews marketing and sales communications; Monitors and reviews sales practices (81-105); Monitors Third-Party service provider oversight; Manages process for renewal/updates to fund offering documents & DOT’s; Supports the business when launching, merging or terminating funds; Manages & delivers all Board and IRC reporting (firm and fund matters); Maintains & executes compliance program
• Ensures AMLATF and Privacy compliance: Maintains risk assessment (at least annually); Maintains and executes compliance program & manual; Escalates and recommends filings.
• Designs, implements and deploys training as required to support firm policies, regulatory requirements and an understanding of the compliance and internal control framework; Maintains records evidencing training and employee understanding thereof; Maintains policies and seek approval in accordance with the policy authority; Maintains compliance and firm manuals
• Ensures registrant governance: Maintains all reporting to Independent Review Committee, Board of Directors and internal committees; Reviews and maintains committee charters, as appropriate; Remains current on all applicable regulation; Maintains & manages relationship with external counsel to Funds and to Firm
Qualifications:
• Minimum 9 years of compliance experience in the financial services industry with an IFM and PM registrant
• Ideally, currently registered with OSC as CCO and registered in such capacity at least 5 years
• Experience in using NRD
• Experience in managing regulatory reviews (CSA, FINTRAC, etc.)
• Experience in monitoring, measuring and reporting on Best Execution, portfolio trade oversight & investment restrictions
• Experience in maintain offering documents of investment funds
• Experience in developing and maintaining compliance programs and in preparing and delivering reporting to Independent Review Committee and Registrant/Fund Board of Directors
• Experience in executing regulatory filings to CSA and FINTRAC
• Proficient in requirements of NI 81-102, NI 81-105, NI 81-106, NI 81-107, NI 45-106, NI 31-103, OSA s111 – 113, NI 23-101/102, NI 33-109,
• Proficient in Excel and data analysis
• Experience in developing and delivering on-line training materials is an asset
• Experience with Bloomberg & Morningstar is an asset
Additional Competencies and Attributes:
• Strong communication skills (both oral and written)
• Strong organization, team management and project management skills
• Proficient attention to detail, ability to work under pressure with tight timelines and multi-task
• Strong computer software and technology acumen
• Skillful in problem-solving, risk identification and management
• Highly motivated, self-directed and results-oriented;
• Business-focused, with exceptional judgment and demonstrated decision-making skills;
• Demonstrated strong interpersonal and team leadership skills; and
• Possessing a combination of strategic focus, combined with a hands-on, operational working style;
• Thought leader for process enhancement and risk management
What We Offer:
• A comprehensive total rewards program
• Competitive base pay, incentive opportunity and group benefits
• A progressive and high-performance team environment
Our Workplace:
We regard our employees as our most valuable asset and strive to create positive workplace culture and an environment that is fair, equitable, respectful and supportive. We encourage you to submit your application online for an opportunity to become part of our team.
Join Caldwell and be part of a growing, highly engaged and collaborative team, where employees:
(i) reach their full potential,
(ii) consistently deliver high-quality client experiences; and
(iii) produce significant results.
As an essential business, Caldwell is practicing “physical distancing measures” related to COVID-19, with required staff working on premises.
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Caldwell Investment Ltd. is committed to the principles of employment equity and diversity. We are dedicated to removing barriers in the recruitment and selection processes. We encourage members of equity seeking groups, including people with disabilities, to apply. Should you require accommodation, we will take into account your accessibility requirements. If we call you for an interview or any selection process, please notify us about your accommodation needs.
We thank all applicants. Only those selected for an interview will be contacted.
No telephone inquiries please.
Caldwell Investment Management (“CIM”) is a wholly-owned subsidiary of Caldwell Financial Ltd. and is a member of the Caldwell group of companies (“Caldwell”). Established in 1980, Caldwell provides full-service investment management, advisory and custodial services to individual and institutional investors and has assets under management and administration.
CIM employs bottom-up investment processes to manage concentrated, high active share portfolios that seek to generate meaningful alpha over market indices.
Job Summary:
Reporting to the President and CEO, the role is responsible for daily operations of the portfolio and investment fund manager business.
Responsibilities include but not limited to:
- Managing the technology and workflow between portfolio trading activities, portfolio accounting, portfolio reporting and analytics activities, executing brokers, fund valuation and transfer agency service providers and custodians
- Providing strategic direction to support business initiatives including, but not limited to, new fund launches, existing fund reorganizations, vendor selection & management, broker management, etc.
- Managing internal reporting and supporting the reporting needs of the portfolio management team and the business development team, including marketing and sales communications.
- Partnering with Compliance to ensure regulatory compliance of books and records, reporting disclosures and trading practices
- Ensuring deadlines are met to ensure completeness, accuracy and timeliness of NAV calculations
- Provide strategic and operational support with
- Fund launches and reorganizations
- Fund audits
- Oversight of Fund service providers and the NAV calculation
- Review of management fee and performance fee calculations
- Preparation of external reporting and regulatory filing associated with the Funds
- Preparation of Best Execution and Portfolio Analytics
Position Requirements:
Only candidates with the following minimum experience and attributes need apply:
- 8-10 years of experience, in progressively senior roles, within investment operations for an OSC-registered Portfolio Manager and Investment Fund Manager (both registration categories)
- Proficient in Excel and VBA
- Experience with Trade Order Management Systems/Electronic trading platforms, preferably Bloomberg trading modules (specifically EMSX, FIT, FX , PORT and data extraction)
- Demonstrated ability to proactively identify issues, recommend solutions and remediate effectively
- Willingness to challenge status quo with a mindset of process improvement and an ability to generate ideas and execute
- Strong written and verbal communication skills
- Hardworking, independent, self-starting team player who partners with the business to achieve firm and team goals
- A track record of success
- An entrepreneurial spirit
What We Offer:
- A comprehensive total rewards program including competitive base pay, bonus opportunities and group benefits
- A progressive and high-performing team environment
- On-going mentoring and coaching
Our Workplace:
Join Caldwell and be part of our highly engaged and growing team, where employees:
(i) reach their full potential,
(ii) consistently deliver high-quality client experiences; and
(iii) produce significant results.
As an essential business, Caldwell is practicing “physical distancing measures” related to COVID-19, with required staff working on premises. Investment Operations being a critical function, there is an expectation of working from our offices on a daily basis.
Caldwell is an equal opportunity employer.
To apply for this position, please send your cover letter and resume to
careers@caldwellinvestment.com
We thank all applicants.
Only those selected for an interview will be contacted.
No telephone inquiries please.
Job Type: Full-time, Permanent
Caldwell Investment Management (“CIM”) is a wholly-owned subsidiary of Caldwell Financial Ltd. and is a member of the Caldwell group of companies (“Caldwell”). Established in 1980, Caldwell provides full-service investment management, advisory and custodial services to individual and institutional investors and has assets under management and administration.
CIM employs bottom-up investment processes to manage concentrated, high active share portfolios that seek to generate meaningful alpha over market indices. The team is currently responsible for three North American equity mandates:
- a U.S. dividend growth strategy that seeks quality compounders that demonstrate the capital allocation discipline associated with long term dividend growth;
- a factor-based Canadian equity strategy with an active overlay that capitalizes on re-rating opportunities within the Canadian market.
- an unconstrained, opportunistic strategy that invests across both Canada and the U.S
Job Summary:
The successful candidate will be a key member of the portfolio management team, working closely alongside portfolio managers to execute investment processes, and with the sales and marketing teams to help drive asset growth.
Key Responsibilities:
Research & Portfolio Management:
Assist the portfolio manager in all aspects of the investment process, including screening, due diligence, and monitoring. This includes:
- creating, running and updating screens,
- gathering background information on potential investments,
- creating and updating models,
- participating in due diligence and earnings calls
- providing input into buy/sell decisions.
Business Development:
Participate in business development functions, including:
- client reviews and due diligence calls
- investment seminars and presentations
- media appearances
- assisting sales and marketing with certain reporting
Position Requirements:
Minimum 3-5 years working for a successful portfolio management team
- Chartered Financial Analyst (CFA Designation)
- Undergraduate degree in Finance or Commerce preferred
- Proficiency in modeling, financial analysis and business valuation
- Strong written and verbal communication skills
- A track record of success
- An entrepreneurial spirit
- Proficiency in Capital IQ and Bloomberg a plus
What We Offer:
- A comprehensive total rewards program including competitive base pay, bonus opportunities and group benefits
- A progressive and high-performing team environment
- On-going mentoring and coaching
Our Workplace:
Join Caldwell and be part of our highly engaged and growing team, where employees:
- reach their full potential,
- consistently deliver high-quality client experiences; and
- produce significant results.
As an essential business, Caldwell is practicing “physical distancing measures” related to COVID-19, with required staff working on premises.
Caldwell is an equal opportunity employer.
To apply for this position, please send your cover letter and resume to careers@caldwellinvestment.com
We thank all applicants. Only those selected for an interview will be contacted.
No telephone inquiries please.
Job Type: Full-time, Permanent