Scope

The Senior Compliance Officer is responsible for supervising and assisting in the compliance activities of Portland's investment funds, managed accounts and exempt market dealer business segments under the supervision of the Chief Compliance Officer (CCO). In addition, the Senior Compliance Officer will oversee and train student interns to assist with compliance activities and other ad hoc tasks as required. The Senior Compliance Officer may assist other business units including legal, fund reporting, fund administration, marketing and portfolio management.

Essential Functions:

• Assist in the maintenance and monitoring of compliance with Portland's Compliance Manual and escalate compliance items to the CCO as required.
• Assists in writing new compliance policies and procedures, testing and review of current policies and keeping Portland's Compliance Manual up to date for changes in processes and regulation or legislation that impacts Portland.
• Review of marketing materials.
• Assist with offering and constating documents.
• Provide advice in connection with routine compliance inquiries from other departments.
• Oversee student intern's preparation and review of compliance monitoring of investment management activity, including the monitoring of Portland's Personal Trading Code and review of standard marketing material.
• Assist in the hiring process of student interns including interviews, performance reviews and provide training and oversee the day-day activities assigned by the Compliance Department to the student intern throughout his or her term with Portland.
• Update and maintain compliance calendar of filings and action items and ensures tasks are done on a timely basis.
• Prepare and/or review regulatory filings including NI 24-101, 13F/13H, 45-106F1, simplified prospectus, annual information form, fund facts, financial statements and MRFPs.
• Prepare quarterly and annual reporting for the Compliance and Risk Committee, Independent Review Committee and/or boards of directors.
• Participate in industry forums and meetings and forge relationships with other compliance officers in the industry.
• Participate in special projects, including managing projects, and perform other duties as assigned.

Competencies:

• Achievement Orientation - A concern for working well or for surpassing a standard of excellence
• Analytical Thinking - Understanding a situation, issue, problem, etc. by breaking it into smaller pieces
• Conceptual Thinking - The ability to identify patterns or connections between situations that are not obviously related
• Concern for Order - Reflects an underlying drive to reduce uncertainty in the surrounding environment
• Commitment to Continuous Learning - Taking action to continuously learn in order to improve individual professionalism and effectiveness within the organisation
• Information Seeking - Driven by an underlying curiosity and desire to know more about things, people, or issues
• Teamwork and Cooperation -Works cooperatively with others, to be part of a team, to work together, as opposed to working separately or competitively
• Relationship Building - The ability to build, maintain and manage relationships, networks or contacts

Education:

• Bachelors Degree/College Diploma required

Work Experience:

• Minimum 5 years of compliance experience in the securities industry.
• Working knowledge of securities legislation relevant to client accounts and funds.
• Experience with a variety of investment products mutual fund trusts, limited partnerships and investment in private securities highly desirable.
• Experience with exempt market dealer activities and retail and institutional managed accounts and related systems highly desirable.
• Advanced Excel and Word skills required; familiarity with Bloomberg and Alpha Desk desired.

We thank all applicants in advance, however, only those individuals selected for an interview will be contacted.

At Portland, we support diversity and equity. We strive to provide a workplace that is recognized as inclusive for all, regardless of ethnic origin, nationality, language, religious beliefs, gender, sexual orientation, age, marital status, family situation, physical or mental disability.

We respect the dignity and independence of persons with disabilities. Accommodations are available on request for candidates taking part in all aspects of the selection process. Reasonable accommodations will be made to enable individuals with disabilities to perform the essential functions.

If contacted for an interview, please inform us should any accommodation be required.