Position Title: Chief Compliance Officer
Status: Part Time
Location: Toronto, ON, Canada
Travel Requirements: None
Supervisor: Founder & Managing Director
Hatley Capital Partners is a boutique capital advisory and placement firm specializing in raising private capital for alternative investment managers and direct investing.
The firm advises on all aspects of the fundraising process including preparation of marketing materials, comprehensive strategic fundraising planning, and distribution.
Hatley Capital Partners is sector agnostic and focuses on only a few mandates each year with top quartile managers in order to ensure maximum dedication for each mandate.
We also source quality direct investments for our Limited Partners which include pension funds, financial institutions, insurance companies and family offices.
- Conduct and document KYC and KYP processes
- Identify and document conflicts of interest
- Identify and disclose outside business activities
- Train representatives on dealing and principals
- Review and organize updates of marketing materials and website to ensure compliance
- Provide overall guidance and training on best practices
- Regulatory reporting and annual audits
- EMD registration renewals
- Maintain registrant financial requirements
Qualifications & Experience
- Previous experience as a Chief Compliance Officer is an asset.
- Completed the Chief Compliance Officer course and exam from the Canadian Securities Institute or equivalent.
- Expert proficiency with the Google Suite of Programs and Slack.
- Strong verbal and written communication skills.
- Exceptional organizational skills and impeccable attention to detail.
- High degree of professionalism in dealing with diverse groups of people.
- Ability to complete a high volume of tasks and projects with little or no guidance.
- Ability to react with appropriate levels of urgency to situations and events that require quick response or turnaround.
- Able to maintain a high level of integrity and discretion in handling confidential information.
This position pays a competitive part-time salary. This position is part time, averaging at 2 days per week, with room for growth.
How to Apply
Please send your CV to email@example.com.
Posted Nov 18, 2020