Sagard

Compliance

• Help lead compliance programs for Sagard affiliates registered as SEC investment advisers and/or Canadian portfolio managers, investment fund managers, and exempt market dealers
• Maintain and enhance the compliance manual, code of ethics, supervisory procedures, and related policies
• Lead annual compliance reviews and prepare reports for senior management, governing bodies, and parent company legal/compliance stakeholders
• Lead or support regulatory and compliance aspects of new product development, M&A transactions and integrations, and portfolio transaction activities
• Monitor regulatory developments affecting SEC RIAs, private funds, private credit, real estate, private equity, fund-of-funds, co-investments, secondaries, and cross-border advisory activities
• Oversee RAQ, Investment Fund Survey, Form ADV, Form PF, Form D, and other regulatory filings
• Support compliance with private fund rules, marketing rules, custody requirements, pay-to-play rules, political contribution rules, and books-and-records obligations
• Review investor communications, marketing materials, DDQs, RFPs, pitchbooks, performance presentations, and related external materials
• Advise on conflicts of interest, allocation of investment opportunities, fees and expenses, valuation, side letters, MNPI, personal trading, gifts and entertainment, outside business activities, and political contributions
• Provide compliance oversight across Sagard’s alternative investment strategies
• Support diligence and monitoring involving underlying managers, borrowers, sponsors, operating partners, joint venture partners, LPAC participation, side letters, MFN provisions, and investor reporting
• Coordinate compliance matters involving international affiliates, cross-border advisory activity, marketing, delegation, information sharing, and intercompany services
• Work with internal and external counsel and senior management to manage jurisdictional regulatory risks
• Assist with OSC, SEC, and other regulatory examinations, inquiries, correspondence, and remediation
• Assist in managing relationships with compliance consultants and other service providers
• Assist in developing and delivering compliance training across investment, investor relations, finance, operations, and leadership teams
• Promote a culture of compliance, accountability, and ethical conduct
• Participate in compliance, valuation, conflicts, risk, operating, or governance committees as appropriate

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Director, Compliance