Investment Compliance Manager (Toronto)

Job Description

Overview

Pinnacle Investment Management Group Limited (ASX:PNI) is a leading Australian-based multi-affiliate investment management firm. Our mission is to establish, grow and support a diverse stable of world-class investment management firms. Pinnacle currently consists of eighteen investment management firms that collectively manage over A$179 billion in assets across a diverse range of asset classes. Our affiliated managers operate autonomously, in line with our philosophy that 'supported independence' is an essential ingredient in sustaining investment excellence and business resilience over the long term. Our values of Client Focus, Honesty and Integrity, Innovation and Empowerment guide all our actions. We continually invest in our people and develop them to help reach their potential through extensive on the job training.

About the Role

Pinnacle is expanding its Risk & Compliance team due to significant growth and increasing regulatory and client expectations. Led by the Chief Risk & Compliance Officer, the Risk & Compliance team is responsible for the delivery and continual improvement of the governance, risk & compliance (GRC) framework across the Group, including for Pinnacle’s Responsible Entity and the provision of GRC advisory services to Pinnacle’s Affiliate Investment Managers.

What You00ll Do

• Investment Compliance


• Handle pre-trade enquiries and approval requests for affiliates trading in North American and European markets


• Manage post-trade monitoring for affiliates located in North America


• Maintain and update compliance monitoring rules in OMS platforms for ad hoc requests from affiliates or the IMS team


• Set up new IMAs/PDSs and amendments in various Order Management Systems (OMSs)


• Conduct annual/biennial compliance rule reviews


• Assist with ODDs (Operational Due Diligence) relating to investment compliance for clients in North America


• Prepare monthly and quarterly compliance reports and attestations for North America


• Regulatory & ESG Oversight


• Responsible for regulatory filings across U.S., Canada, and other jurisdictions in the region (e.g., Forms 13F, 13G, 13H)


• Manage ESG restrictions for affiliates in North America and other regions


• Monitor and interpret regulatory developments in Canada, U.S., and other relevant jurisdictions


• Risk & Incident Management


• Support incident management and breach reporting for North American affiliates


• Assist with audits related to compliance monitoring


• Global Team Collaboration


• Provide coverage for the UK team during business hours when required


• Collaborate with the global team on projects including compliance rule reviews, system upgrades, and regulatory changes


• Work with the Legal team and the Product team for issues related to compliance monitoring


• Work with the IMS team to resolve operational issues

Qualifications

• Between 3-5 years’ solid experience in investment compliance/mandate monitoring within financial services sector


• Excellent understanding of the Funds Management industry


• Good knowledge of ETD and OTC derivative instruments as well as other asset classes e.g. Equities, Fixed Interest, FX and ETF


• Good understanding of current and proposed regulatory requirements impacting the Funds Management industry is an advantage


• Analytical and problem solving skills


• Good planning, organisational and prioritisation skills


• Highly self-motivated, possessing strong written and verbal communication skills, with the ability to communicate effectively at all levels


• Ability to work and perform independently as part of a regional team


• Exposure to different geographic regions, especially the U.K., an advantage