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Director – Regulatory Compliance and Controls - Trans-Canada Capital - 33177

Location: MONTREAL, QC, Canada
Posting Start Date: May 18, 2023
Posting End Date: Jun 1, 2023


Job Description


Trans-Canada Capital (TCC) is an asset management firm specializing in innovative investment strategies for institutional investors. Since 2009, the team has successfully managed the pension assets of Air Canada, one of the largest corporate pension plans in the country. Over the years, we have earned an enviable reputation by generating superior returns through strategies focusing on alpha generation in a rigorous risk-controlled framework. With approximately C$27 billion in assets under management (inclusive of leverage), over 125 investment professionals based in Montreal and Toronto, and a complete range of alternative solutions, TCC is well positioned to meet the needs of institutional investors seeking steady returns.
We are seeking an enthusiastic individual to fill a role within the Compliance Department of Trans-Canada Capital (TCC). Reporting to the Chef Compliance Officer and ESG leader, the Director, Regulatory Compliance and Controls will be responsible to develop the implementation and management of TCC’s compliance program, monitor the evolution of the internal control system and all policies and procedures. In addition, the Director will provide advice on regulatory matters, including obligations under securities legislation, as well as leading the regulatory compliance and controls team.
The candidate will choose TCC because of its collaborative work environment, the sophistication and diversification of the financial products traded, the tight-knit relationship amongst the investment teams and the competitiveness of its total compensation package.
Role and Responsibilities: 
  • Lead, manage and develop a team capable of delivering the desired result 
  • Oversee the implementation of practices and controls to ensure compliance with regulatory requirements and sound risk management 
  • Plan and supervise compliance audits and perform operational risk analyses 
  • Supervise the update and maintenance of the governance risk and controls system 
  • Develop the compliance program and internal controls audit plan 
  • Develop and update policies and procedures in accordance with applicable laws and regulations 
  • Prepare employee training 
  • Monitor the activities of the firm and the people acting on its behalf within the required deadlines and ensure compliance with policies and procedures 
  • Analyze and interpret applicable laws and regulations and assist in the implementation of the measures necessary to ensure compliance 
  • Ensure compliance with AML and KYC requirements 
  • Complete regulatory & compliance reporting 
  • Support the Independent Review Committee 
  • Ensure compliance with obligations regarding the protection of personal information 
  • Support the compliance team in the execution of other tasks, projects and assignments, as needed


  • Bachelor's degree in a relevant discipline (accounting, finance, legal, administration, etc.) or an equivalent 
  • Minimum eight years of applicable asset management in compliance, control or regulatory experience  
  • Holds a CPA or CFA designation or member of barreau du Québec 
Knowledge and Skills: 
  • Proven experience as supervisor or relevant role 
  • Understanding of the regulatory framework and best practices of the asset management industry 
  • Good knowledge of securities and investment fund regulations 
  • Good knowledge of internal controls 
  • Knowledge of Governance, Risk and Compliance tools (Ethidex) an asset 
  • Excellent knowledge of MS Office (Excel, Word) 
  • Bilingualism (French and English) 
  • Ability to work with minimal direction; learns quickly and independently 
  • Ability to plan, organize and prioritize assignments and to meet critical and established deadlines  
  • Rigor, thoroughness, vigilance, and accountability 
  • Proactivity and sense of initiative 
  • Great capacity for learning, versatility, and adaptation to changes 
  • Sense of organization and the ability to multitask 
  • Excellent communication and teamwork skills
The position will be based in Downtown Montreal with a hybrid working model
Conditions of Employment:
  • Candidates must be eligible to work in the country of interest, at the time any offer of employment is made and seeking any required work permits/visas or other authorizations which may be required is the sole responsibility of the candidates applying for this position.
Linguistic Requirements:
Bilingual (English and French). This position requires proficiency in a language other than French to support customers and employees located outside the province of Quebec or who require services in a language other than French. 

Diversity and Inclusion:
TCC is strongly committed to Diversity and Inclusion and aims to create a healthy, accessible and rewarding work environment which highlights employees’ unique contributions to our company’s success.  
As an equal opportunity employer, we welcome applications from all to help us build a diverse workforce which reflects the diversity of our customers, and communities, in which we live and serve.  
TCC thanks all candidates for their interest; however only those selected to continue in the process will be contacted.