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:

• University degree in business, finance, legal or related discipline.
• Industry related education including PDO and/or other compliance courses.
• Three or more years of experience with an investment counsel firm or securities firm focused on affluent Canadians is required. Additional fund or pool compliance experience is beneficial but not required.
• Oriented to “hands on” daily management of tasks, communications, and projects.
• Strong communication, interpersonal, organizational, and project management skills.
• Ability to juggle multiple priorities and meet deadlines.
• Intermediate to advanced Microsoft Excel skills.
• Knowledge of Ndex Systems is a plus.
• Flexible regarding working hours to meet service levels when required.

PERFORMANCE METRICS:

• Successful completion of assigned tasks.
• Ability to plan and implement new compliance developments and ensure the firm meets its compliance obligations.
• The development, documentation and implementation of process improvements.
• Quality of work and interpersonal relations.
• Contributions to firm spirit and compatibility with culture.

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

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

• A broad and in-depth working knowledge of the Canadian investment industry
• 15+ years of relevant experience
• Highly collaborative nature with the ability to build trusted relationships
• Investment knowledge on a range of asset classes, including Alternatives
• Strong social skills and business acumen to manage and guide internal and external stakeholders
• Curiosity to understand clients’ needs and translate them into value-add opportunities
• Flexibility to work as needed by clients

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

• Own clients’ overall experience with our organization
• Participate in discovery with prospective or new client families
• Identify and advance clients’ priorities beyond their investment portfolios
• Provide education and trusted advice on investments
• Lead client meetings and ensure materials meet or exceed expectations
• Strategic Investment Planning
• Develop integrated investment plans based on clients’ unique goals and needs
• Oversee the development of, and updates to, clients’ Investment Policy Statements
• Review new client families’ existing investments for alignment with their objectives
• Liaise with clients’ tax advisors to align investment and tax planning
• Stay in tune with changes to clients’ lives and whether their plans require changes

Investment Allocations

• Provide non-discretionary clients with recommendations that are actionable and concise
• Manage discretionary client capital following clients’ IPSs and internal resources
• Coordinate with clients’ tax advisors to help them assess asset placement considerations
• Attend Investment Committee meetings and remain apprised of our investment activities
• Ensure investment execution with practice group members, client service and operations

Reporting and Monitoring

• Provide ongoing information, analysis, and education to client families on their investments
• Oversee the timely delivery and accuracy of investment reporting
• Manage the design and delivery of any custom portfolio analyses for clients
• Liaise with the investment and operations team from time to time to address client questions

Compensation

• Industry competitive salary.
• Performance-based bonus structure.
• Health benefits via participation in the firm’s health spending account.
• Four weeks’ vacation per annum

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

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

• Prepare, review, and file federal and provincial tax returns for individual and corporate clients (T1, T2, T3, T4, T5, T5013 etc.) independently and as part of a broader engagement team. This includes:
  • Preparation and review of corporate tax returns in accordance with Firm standards for Canadian‐based corporations, Canadian subsidiaries of foreign‐based corporations, and Canadian‐based corporations with operations in foreign jurisdictions; and
  • Preparing and reviewing personal tax returns, terminal returns, estate returns and trust returns along with various information returns.
• Work closely with the Tax Partners and other senior staff to develop and implement complex tax planning assignments for corporate and private clients.
• Research and interpret tax issues and prepare memorandums, client letters, and develop opinions on a variety of tax issues.
• Prepare tax provision and accruals in accordance with applicable accounting
• Assist in the development and implementation of tax and estate planning
• Liaise and be a primary point of contact with tax authorities on tax audits and
• Perform advanced technical research and document tax plan recommendations for
• Maintain a strong knowledge base of Canadian tax rules and regulations, growing this base over
• Establish a requisite knowledge base of cross border, commodity, and transactional tax rules and regulations for specific client This includes a working and growing knowledge of transfer pricing regulations.
• Collaborate with senior management on file planning and completion with the established time
• Provide effective leadership, mentorship, and skills development that support the values of the
• Provide personal and attentive service to clients to encourage productive working
• Develop and maintain positive working relationships with clients including communication to arrange timing of file work.
• Develop appropriate knowledge, skills, and competencies consistent with the CPA professional development requirements as well as professional workplace competencies.
• Other related duties as

Qualifications and other requirements

• CPA designation or tax professional equivalent with a minimum of 5 years’ experience in public accounting or public tax administration.
• Completion of or working towards completion of the In‐Depth Tax Program or Masters of Tax
• Working knowledge of Canadian tax acts (Income Tax Act, Excise Tax Act, Retail Sales Act, Business Corporations Act, Limited Partnerships Act, Not‐for‐profit Corporations Act, etc.).
• Proficiency with Caseware and tax prep is
• Proficiency with Microsoft Office programs (Word, Excel, Outlook, ) required.
• Related experience supporting owner‐managed private corporations is an
• Familiarity with various accounting programs and software is considered an
• Strong project management, problem‐solving, time management and prioritizing
• Dedication to teamwork, leadership, and integrity within a professional
• Excellent communication skills, with previous experience in a customer service‐related position; strong interpersonal and relationship building
• Commitment to continuous
• Commitment to organization and high
• Reliable vehicle and good driving record required as this role will require limited local

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:

• Culture of lifelong learning
• Supportive and collaborative work environment
• Enthusiastic and participative team spirit
• Commitment to community engagement
• Flexible hours to allow for work life balance
• Casual Friday dress policy
• Competitive and comprehensive benefits

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.

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 

• Deliver client engagements, while providing thoughtful audit, assurance, and advisory support to a variety of private sector, owner managed SMEs and not-for-profit organizations
• Understand and employ the firm’s assurance engagement methodology
• Plan, scope, and lead complex assurance and audit engagements both independently and as part of a team, governed by ASPE and Canadian Auditing and Review Standards.
• Collaborate with Partners on the engagement method and execute the engagement plan using a risk-based approach.
• Organize information and manage staff involvement for large groups of owner managed SMEs.
• Review work performed by intermediate and senior Staff Accountants for standard and complex assurance engagements.
• Interact with clients to help ensure the flow of information from client to the assurance team and vice versa is efficient.
• Supervise Staff Accountants on engagement teams and function as a Senior Manager, monitoring and coaching productivity and adherence to the work plan and budget
• Provide insightful feedback on reviewed financial statements and prepare other client deliverables such as board communications, deficiency letters, management letters, etc.
• Deliver technical expertise in audit and assurance through client interactions, reports, technical work, management presentations and the creation of high-quality client deliverables.
• Collaborate with client engagement team prior to commencement of client work to discuss roles and responsibilities, risk areas, materiality, and deadlines
• Review, investigate, and correct discrepancies and irregularities in financial entries and reports.
• Think strategically about client needs by understanding their business and associated key risks.
• Leverage team appropriately to ensure proper documentation is prepared for the client and procedures relating to the file are followed accordingly.

Tax 

• Prepare, review, and file federal and provincial tax returns for individual and corporate clients (T1, T2, T3, T4, T5, T5013 etc.) independently and as part of a broader engagement team. This includes:
  • Preparation and review of corporate tax returns in accordance with Firm standards for Canadian-based corporations, Canadian subsidiaries of foreign-based corporations, and Canadian-based corporations with operations in foreign jurisdictions; and
  • Good understanding of personal tax returns, terminal returns, estate returns and trust returns along with various information returns.

Management

• Lead multiple client-facing engagement teams ensuring that client and Partner expectations are clearly communicated to the engagement team.
• Manage a portfolio of private sector, owner managed clients while ensuring their service needs are addressed in a timely manner.
• Be accountable for project financials (budgets, WIP, timely billing, variance recognition).
• Maintain high quality control by reviewing work done from other team members for accuracy and completeness; provide feedback and coaching to Assurance Staff Accountants.
• Monitor project timelines against targets, adjust where necessary; advise clients of project status and seek clarification on discrepancies where applicable.
• Liaise and correspond professionally with clients, colleagues, and the Firm leadership team.
• Promote regular attendance, balanced lifestyle, and high standard of team
• Identify performance improvement opportunities for team wellness.
• Conduct formal, written annual performance reviews.

Business Development

• Contribute to the preparation and delivery of competitive proposals to meet client needs.
• Network in the local business community and consider new business development opportunities.
• Contribute to the development of new ideas and approaches to improve work processes.
• Mentor, motivate, and coach team members towards professional and personal development goals by setting clear expectations, providing feedback, and addressing performance issues promptly.
• Keep up to date on industry developments by reading trade publications and other relevant thought leadership.
• Respond to technical questions from all professional staff regarding accounting and assurance- related matters.
• Conduct research on relevant accounting issues, new standards, and their application to private enterprise.
• Maintain responsibility for certain aspects of staff and executive training including course development and course instruction.
• Prepare and present seminars or informational fact sheets to clients on relevant accounting pronouncements.

Qualifications and other requirements

• CPA designation with a minimum of 7 years’ experience in audit and assurance required.
• Strong working knowledge of ASPE standards required.
• Working knowledge of the Canadian Income Tax Act and Excise Tax Act.
• Proficiency with Caseware or other accounting software is preferred.
• Proficiency with Microsoft Office programs (Word, Excel, ) required.
• Related experience supporting owner-managed private corporations is an asset.
• Familiarity with various accounting programs and software is considered an asset.
• Strong project management, problem-solving, time management and prioritizing skills.
• Dedication to teamwork, leadership, and integrity within a professional environment.
• Excellent communication skills, with previous experience in a customer service-related position; strong interpersonal and relationship building skills.
• Commitment to continuous learning.
• Commitment to organization and high performance.

Other Details

• Job type: Full-time
• Experience: Audit and Assurance (7+ years), Public Accounting (5 years)
• License: CPA
• Work Set-up: This position requires working from the office
• Language: English, French (asset)

Benefits of working at the firm:

• Competitive and comprehensive benefits package
  • Health, dental, disability, and life insurance
  • Personal and bereavement days
  • Education assistance
  • Sick leave
• Culture of lifelong learning
• Supportive and collaborative work environment
• Enthusiastic and participative team spirit
• Commitment to community engagement
• Flexible hours to allow for work life balance
• Casual Friday dress policy
• Free parking

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 Osbourne at (416) 945-6601 ext. 231 or forward your resumes to swilliams@collinsrecruit.com.