Senior Associate, Private Capital Markets

Posted:December 7th, 2023

Our client, a private equity firm that specializes in providing private market real estate-based investment offerings to Canadian investors is searching for their next Senior Associate.

The Senior Associate is a licensed Dealing Representative. The Dealing Representative is expected to be knowledgeable about company real estate-based product offerings, the investor subscription process, Exempt Market Dealer compliance regulations and requirements, and must have the ability to effectively assess investor suitability.

We are seeking an ambitious self-starter with a high degree of energy, motivation and discipline to achieve sales success. You will be primarily responsible for developing new private client business from the investor community.

Successful candidates must also have a strong character with a desire to take care of investors and clients. The reputation of the firm with its partners, clients and regulators is paramount.

Duties will include:

  • Developing one’s pipeline of business through various sources and continuously working to grow one’s network of business.
  • Growing a direct private client customer base and developing new opportunities with external business partners.
  • Understanding client needs and transitioning them to the firm’s solutions and products.
  • Achieving monthly and annual sales targets.
  • Assisting marketing and communications teams with advertising and creating communications content directed at Chinese Canadian prospects and investor clients.
  • Developing an excellent understanding of approved investment products.
  • Participating at and organizing various corporate events as required.

The Successful Candidate will possess:

  • Excellent sales skills.
  • Completion of the Canadian Securities Course (CSC) or the IFSE Exempt Market Proficiency Course.
  • Strong client service skills and the ability to confidently handle client interactions.
  • A post-secondary degree or equivalent business experience.
  • 3 to 5+ years experience in the financial services industry or real estate investment sales, in a client facing capacity.
  • Strong network of clients and the ability to grow that network.
  • High performance standards and ability to put the time in to achieve results.
  • An entrepreneurial spirit and desire to work hard and consistently improve.
  • Desire to bring credible, proven, long term wealth solutions to clients.
  • Excellent communication skills (both written and oral)
  • Excellent presentation skills.

Compensation:

  • Competitive earning structure. Base salary plus sales commission/bonus.

Chief Operating Officer (COO)

Posted:September 7th, 2023

Our client, an independent investment counsel firm based in Montreal whom focuses on strategic financial planning, asset management and wealth preservation is hiring their next Chief Operating Officer (COO.)

Company Overview

This independent investment counsel firm is a reputable financial institution based in Montreal. With a focus on investment advisory services, the firm provides strategic financial planning, asset management, and wealth preservation solutions to its clients. The COO will play a crucial role in managing all non-advisory functions within the firm, ensuring operational efficiency, regulatory compliance along with the Chief Compliance Officer, and effective utilization of resources.

Job Summary

The Chief Operating Officer (COO) will oversee and lead all non-advisory functions of the private investment counsel firm. Reporting directly to the President, the COO will be responsible for the efficient and effective management of operations, technology, finance/accounting, and compliance along with the Chief Compliance Officer. The COO will collaborate with internal stakeholders to streamline processes, optimize resource allocation, and drive the firm’s growth objectives.

Responsibilities:

1. Operations Management:

2. Technology Management

3. Finance and Accounting

4. Compliance and Risk Management (along with the Chief Compliance Officer):

5. Team Leadership

Qualifications

Details

Compliance Specialist

Posted:September 18th, 2023

Our client, is searching for a Compliance Specialist.

Position Summary

The successful candidate will lead the firm’s compliance function in support of the Chief Compliance Officer. As a key member of the firm, the successful candidate’s primary responsibilities are to support the company’s mission of investment and client service excellence in a compliant manner.

Duties and Responsibilities:

A) Firm Compliance
1. Maintain the firm’s Policy and Procedure Manual.
2. Maintain the firm’s client relationship disclosure documentation and complete the initial drafts of new documents and/or communications as required.
3. Assume Chief AML and Chief Privacy roles and responsibility for OBSI relationship.
4. Maintain compliance logs as well as the corporate Compliance files.
5. Attend PMAC compliance sessions as well as relevant NBIN webinars.
6. Monitor the websites and publications of the OSC, CSA, FINTRAC and select legal firms for upcoming regulatory changes and best practices.
7. Review, approve and retain records of marketing material.
8. Oversee the Compliance training of Tacita associates.
9. Take a leading role in responding to any regulatory inquiries and audits.
10. Liaise with the firm’s external compliance consultant.
11. Manage the firm’s NRD and registration applications and updates.
12. Initiate and track annual associate disclosures and certifications.
13. Ensures sign off annually to our Code of Ethics for Personal Investing and Business Conduct by all associates.
14. Coordinating regulatory compliance procedures across organizational structures.
15. Annual review of Business Continuity Plan and associated testing.
16. Other tasks and responsibilities as assigned.

B) Client Compliance

1. Ensure all client service procedures, documentation, communications and files comply with AML, FATCA and CSA/OSC reporting requirements.
2. Monthly AML scans.
3. Sign off on the completion of client onboarding files.
4. KYC tracking and reviews including auditing completion of confirmation emails and their filing.
5. Review client risk assessments.
6. Work with staff and the portfolio managers to troubleshoot and resolve specific client issues.
7. Liaise with the custodian, NBIN, as required.

C) Private Pool Compliance

1. Review and authorize TCI Premia Pool subscription forms received for non-managed account investments.

D) Regulatory Filings and Reports

1. Coordinate the preparation and submission of non-financial regulatory filings.
2. File Quebec semi-annual complaint form.
3. Assist in drafting the Annual Compliance Report to the Board.
4. Prepare the Annual Compliance Plan and Calendar for CCO sign off and submit a weekly
and monthly checklist of all completed activities to the CCO.
5. Conduct Biennial Risk AML/TF Assessment and prepare initial draft Report and lead any other internal compliance audit programs as required.

E) Committees and Projects

1. Evolve to the Compliance Committee Chair but is immediately responsible for assisting in preparing Agenda and doing minutes/action items.
2. Sit on Valuation and Fee Committees.
3. Participate in or lead various projects as required.

DESIRED ATTRIBUTES:

PERFORMANCE METRICS:

Interested candidates please contact Stephanie Williams at  swilliams@collinsrecruit.com.

Details

Senior Consultant

Posted:September 18th, 2023

Our client, is looking for an experienced investment industry professional to join their growing team as a Senior Consultant.

Currently serves over 150 affluent Canadian families across the country, with approximately $17 billion in Assets under Consultation™*. Their is to empower families for the future and assist them across the full range of their financial, social, and human capital needs.

They have been on a growth trajectory for several years and are looking for a talented person with aligned values to join their team.

The Opportunity
You will lead relationships with affluent families, help build and manage a talented practice group, and help the organization support families across the Family Office Macrocosm™. We believe this role offers an excellent long-term home alongside dedicated team members.

Key Skills and Attributes

Qualifications
Candidates must have (i) relevant investment management experience as either an Advising Representative or Associate Advising Representative; and (ii) obtained the CFA or CIM designation.

We require successful completion of the Exempt Market Products Exam for the role, but you may complete it after the start date.

We will prioritize candidates with experience providing advice to affluent families (e.g., family offices and ultra-high net worth individuals).

Primary Responsibilities

Client Relationships

Investment Allocations

Reporting and Monitoring

Compensation

Interested candidates please contact Stephanie Williams at  swilliams@collinsrecruit.com.

Details

Manager, Tax Advisory Services

Posted:September 18th, 2023

Our client, a well established public accounting firm in Sudbury, Ontario is looking for a Manager, Tax Advisory Services.

We are looking for a driven, detail oriented, and resourceful problem solver to complement our existing tax team in Sudbury, Ontario. If you are an early to mid‐career CPA or Tax Professional with a focus on quality and a collaborative approach to client engagement, we want to hear from you!

As the successful candidate you are highly organized and already have your CPA designation or equivalent, complimented with 5 + years of progressive work experience. You are known by your colleagues for your analytical thinking, poise under pressure, and ability to coordinate information sharing across diverse stakeholder groups. With compassion and integrity, you understand the need to meet statutory deadlines but also understand when to be flexible with respect to changing priorities.

The Manager, Tax Advisory Services is a professional who with the support of our Tax Partners and other senior tax professionals, will research, plan, and deliver the tax compliance and advisory services of the Firm. In this role, the Manager will be part of a broader team providing full range of tax and advisory services to owner managed, private sector businesses.

Responsibilities

Qualifications and other requirements

Other Details

Job type: Full‐time

Experience: Audit and Assurance or Tax Planning (5 years), Public Accounting (5 years)

License: CPA

Location: Sudbury, On

Language: English, French (asset)

Benefits of working at the firm:

Firm Profile – We’re not your typical accounting firm!

Our client’s mission is to maintain economic opportunity for entrepreneurs, their organizations, and our communities. Working primarily with private sector business owners and community organizations, they simplify complex organizational challenges by building more robust business relationships.

Through the assurance, advisory, and taxation lines of our business, 35 professionals ensure clients and their teams meet compliance and reporting requirements. Additionally, we work directly with our clients’ decision makers to reduce information risk, proactively seeking to identify, mitigate, and manage risk appropriately in their businesses.

Community Profile – We’re no longer a lunar landscape!

Sudbury, Ontario is the City of Lakes! Located in the center of North‐eastern Ontario, our municipality is the second largest by landmass in Canada, home to over 330 lakes and 166,000 Sudburians. As the economic hub of Northern Ontario, Sudbury continues to grow and evolve to support our bustling industries. As the hub, our local economy provides private and public sector services to a broader catchment area of approximately 650,000 Ontarians.

With an eclectic mix of urban, suburban, and wilderness environments we consider Sudbury a Northern Paradise catering to any lifestyle. Whether you’re into sports, music, the food scene, outdoor leisure, lake life, or the arts Sudbury has something of substance for everyone.

We thank all applicants for their interest. We will however, only contact those whose skills and experience closely match our requirements for the position.

Offers accommodation for applicants with disabilities in its recruitment processes. If you are contacted regarding a job opportunity, please advise our team if you require accommodation.

Details

Senior Manager, Assurance

Posted:September 18th, 2023

Our client, a well established public accounting firm in Sudbury, Ontario is growing and looking for a Senior Manager, Assurance.

We are looking for a driven, detail oriented, and resourceful problem solver to lead our existing Small Business Assurance team in Sudbury, Ontario. If you are a middle to advanced career CPA with a focus on service quality and a collaborative approach to client engagement, we want to hear from you!

As the successful candidate, you are highly organized and already have your CPA designation complimented with 7 + years of progressive work experience in public accounting. You are known by your colleagues for your analytical thinking, poise under pressure, and ability to coordinate information sharing across diverse stakeholder groups. You understand the need to meet statutory deadlines but also understand when to be flexible with respect to evolving priorities. Above all, integrity and a commitment to ethics influences your decision-making process.

The Senior Manager, Small Business Assurance is a professional, who with the support of our Managers and Partners of the Firm, will plan, review, and deliver year end assurance engagements and train senior, intermediate, and junior staff in accordance with the Firm’s Quality Assurance Manual.

Responsibilities

Assurance 

Tax 

Management

Business Development

Qualifications and other requirements

Other Details

Benefits of working at the firm:

Firm Profile – Not your typical accounting firm!

Our client’s mission is to maintain economic opportunity for entrepreneurs, their organizations, and our communities. Working primarily with private sector business owners and community organizations, they simplify complex organizational challenges by building more robust business relationships.

Through the assurance, advisory, and taxation lines of our business, 35 professionals ensure clients and their teams meet compliance and reporting requirements. Additionally, they work directly with clients’ decision makers to reduce information risk, proactively seeking to identify, mitigate, and manage risk appropriately in their businesses.

Community Profile – We’re no longer a lunar landscape!

Sudbury, Ontario is the City of Lakes! Located in the center of North-eastern Ontario, our municipality is the second largest by landmass in Canada, home to over 330 lakes and 166,000 Sudburians. As the economic hub of Northern Ontario, Sudbury continues to grow and evolve to support our bustling industries. As the hub, our local economy provides private and public sector services to a broader catchment area of approximately 650,000 Ontarians.

With an eclectic mix of urban, suburban, and wilderness environments we consider Sudbury a Northern Paradise catering to any lifestyle. Whether you’re into sports, music, the food scene, outdoor leisure, lake life, or the arts Sudbury has something of substance for everyone.

We thank all applicants for their interest. We will however, only contact those whose skills and experience closely match our requirements for the position.

Offers accommodation for applicants with disabilities in its recruitment processes. If you are contacted regarding a job opportunity, please advise our team if you require accommodation.

Interested candidates please contact Stephanie Williams at (416) 945-6601 ext. 231 or forward your resumes to swilliams@collinsrecruit.com.

Details

Manager OR Vice President, Sales (Private Capital Markets - East Asia Group)

Posted:September 15th, 2023

Our client, a private equity firm that specializes in providing private market real estate-based investment offerings to Canadian investors is looking to hire a Manager OR Vice President, Sales (Private Capital Markets – East Asia Group).

It is looking to expand its presence within the Chinese Canadian investor community.

The successful candidate will be responsible for capital raise activities and business development as it relates to the distribution of the firm’s investment funds and products to the Chinese Canadian investing public.

Successful candidates must have a strong character with a desire to take care of investors and clients. The reputation of the firm with its partners, clients and regulators is paramount.

Duties will include:

The successful candidate will possess:

Compensation:

Interested candidates please contact Stephanie Williams at  swilliams@collinsrecruit.com.

Details