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JOB DESCRIPTION:

The Manager of Compliance reports to the Director of Compliance for SLGI Asset Management Inc. (SLGI) and will join a motivated, results oriented and dynamic Compliance team. In this role, you’ll support the second line of defense compliance function to ensure all business activities as an Investment Fund Manager, Portfolio Manager and Exempt Market Dealer meet all governing regulatory requirements and internal policies.

• Assist with the administration of the Independent Review Committee (IRC) and required reporting. Responsibilities include but not are limited to collecting and reviewing supporting information from various functional groups, drafting reporting materials for the IRC’s review, and assisting with the coordination and management of IRC meetings.
• Administer Personal Trading Program activities such as onboarding and training Access Persons, monitoring pre-clearance requests and brokerage account statement activity, preparing quarterly reports and addressing system related inquiries.
• Manage SLGI’s Compliance Training Program by developing and updating content, preparing communications for employees, tracking completion and attestations, preparing reports, evaluating training platforms options and recommending process improvements.
• Support and coordinate compliance responses to due diligence questionnaires, requests for information, compliance certificates and AML reporting requirements.
• Contribute to the optimization of compliance processes by investigating, recommending and implementing digital enhancements that increase efficiency within the compliance program.
• Participate in updating compliance policy updates and maintaining the Compliance Manual.
• Maintain and enhance SLGI Compliance SharePoint sites (internal and employee facing).
• Document updates to operating procedures for various compliance programs.
• Serve as a backup to the Director of Compliance and other compliance team members and assist in other duties as assigned.