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Advisor, Regulatory Compliance & Controls - Trans Canada Capital - 25831

Location: MONTREAL, QC, Canada
Posting Start Date: Mar 30, 2021
Posting End Date: Apr 9, 2021


Job Description


Trans-Canada Capital (TCC), a subsidiary of Air Canada, is an investment management firm growing rapidly. TCC manages the assets of Air Canada’s pension plans and also offers its services to third-party institutional investors. The assets under management include traditional asset classes (bonds and stocks), alternative investments (derivatives, infrastructure, private equity and real estate) and portable alpha strategies (hedge funds and tactical asset allocation) worth over $23B in aggregate. The investment team of over 75 professionals is located in downtown Montreal.
We are seeking an enthusiastic individual to fill a new role within the Compliance Department of Trans-Canada Capital (TCC). Reporting to the Chief Compliance Officer and ESG Leader, the Advisor – 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 policies and procedures and provide advice on regulatory matters, including obligations under securities legislation. 
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. 
  • Play a compliance expert role in implementing applicable regulatory requirements
  • Analyze and interpret applicable laws and regulations and assist in the implementation of the measures necessary to ensure compliance
  • Monitor applicable laws and regulations and provide or seek legal advice when necessary
  • Develop and update policies and procedures in accordance with applicable laws and regulations
  • Monitor the activities of the firm and the people acting on its behalf within the required deadlines and ensure compliance with policies and procedures
  • Ensure the maintenance of the registrations of the firm and the representatives registered with the regulators and the National Registration Database (NRD)
  • Complete regulatory & compliance reporting, annual UNPRI and TCFD reporting
  • Ensure that the voting process follows the sustainable proxy voting policy
  • Identify, maintain and document the controls related to the firm's regulatory compliance obligations (AML, KYC, conflicts of interest, etc.)
  • Analyze and recommend the implementation of practices and controls to ensure compliance with regulatory requirements and sound risk management
  • Develop the compliance program and internal controls audit plan
  • Conduct compliance audits and perform operational risk analyses
  • Support the compliance team in the execution of other tasks, projects and assignments, as needed


  • Bachelor's degree in a relevant discipline (law, accounting, finance, management control, administration, etc.) or an equivalent
  • Experience in regulatory compliance, control, compliance, and securities law 
  • Minimum six years of relevant experience
  • Member of the Bar or holding the CFA or CPA designation
  • FRM or CIA an asset
Knowledge and Skills
  • 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)
  • Analytical skills, autonomy, and critical thinking
  • 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 is based in downtown Montreal
Linguistic Requirements
Bilingual (English and French)
Diversity and Inclusion
Air Canada 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.
Air Canada thanks all candidates for their interest; however only those selected to continue in the process will be contacted.