The Vice President, Product Compliance will proactively support our Product teams by providing compliance advice, management and support for the successful origination, promotion, syndication and distribution of market products including public and exempt market offerings, alternatives and other niche products. This position will also support critical controls related to material non-public information and conflicts of interest.
Duties & Responsibilities
- Transactional Advice: Provide compliance support of product structure, syndication and distribution working closely with front office teams with a comfort level in providing just in time advice for pressing transactional issues and product fulfillments.
- Product and Transaction Due Diligence: Provide comprehensive compliance support in the due diligence process supporting new names and new issues that are to be originated and/or distributed through RWL pursuant to New Product and Transaction Due Diligence procedures and other requirements.
- Policies, Procedures and Practice: Provide direct support and drafting by ensuring policies and procedures related to capital markets distribution are consistent with firm requirements, risk tolerance and are up to date; working with the Legal team to ensure that all material legislative changes are considered and reflected in capital markets procedure and operations.
- Regulatory Audit and Reviews: Provide support to regulatory requests for information related to capital markets and investment products, working with the Director, Capital Markets and Investment Products and the VP, Risk.
- Control Room Management: Be the compliance gatekeeper for control room activities to ensure that material nonpublic information related to proprietary of other issuances is controlled, recorded, managed through active review of grey and restricted lists and that information barriers are maintained.
- Project Support: Participate in special projects and other duties as required
Skills & Qualifications
- A team player, leader, independent thinker and business minded
- Excellent written and oral communication
- 8-12+ years in a business, legal and/or compliance role with an investment dealer or in securities practice with a law firm, or working in a regulatory authority
- Service and transaction oriented with an ability to remain professional under pressure
- Sound judgment and integrity
- Ability to think and act proactively
- Self-motivated and interested in ongoing learning and professional development
- Proficient with Microsoft Office Suite
- An undergraduate degree in business or economics is an asset
- The completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH)