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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive regulatory and compliance expertise, particularly with SEC and OSC regulations, while effectively managing compliance programs and fostering a culture of accountability and ethical conduct. Proficient in compliance oversight for alternative investment strategies and adept at navigating complex regulatory environments.
Highest-signal resume keywords
Regulatory Compliance ManagementSEC Investment Advisers KnowledgeAlternative Investment Strategies ExpertiseCompliance Training DevelopmentBilingual Proficiency in French and English
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Regulatory FilingsCompliance TestingInvestment Advisers Act KnowledgeConflicts ManagementValuation OversightMarketing ReviewPrivate Fund ComplianceCross-Border Advisory ExperienceAI and Automation Tools ProficiencyMulti-Strategy Investment Familiarity
Soft Skills
Strong Written CommunicationStrong Verbal CommunicationOrganizational SkillsAttention to DetailIndependent Operation
Industry Keywords
SECOSCPrivate FundsInvestment Company Act of 1940Venture CapitalPrivate EquityPrivate CreditFund-of-FundsRegulatory InquiriesCompliance Programs
About the role
Key responsibilities & impact- 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
Requirements
What you’ll need- 7-12 years of relevant regulatory and compliance experience
- Significant experience with OSC/AMF-registered PM/IFMs and/or SEC-registered investment advisers managing U.S. private funds, alternative investment strategies and/or private wealth vehicles operating under the Investment Company Act of 1940
- Multi-strategy experience and familiarity with venture capital, private equity, private credit, real estate, fund-of-funds, secondary funds, co-investments, separately managed accounts, and/or other alternative investment strategies
- Strong knowledge of the Investment Advisers Act of 1940 and SEC rules applicable to private fund advisers
- Demonstrated experience managing SEC examinations and regulatory inquiries
- Experience working with international affiliates, global advisory structures, or cross-border investment management platforms
- AI-fluent and technically curious, with hands-on experience using AI and automation tools
- Strong understanding of conflicts management, allocation policies, marketing review, valuation oversight, fee and expense practices, and investor reporting controls
- Experience preparing compliance testing, annual reviews, and regulatory filings
- Familiarity with international regulatory regimes affecting private fund marketing and advisory activities
- Deep technical knowledge of NI 31-103 and/or SEC RIA compliance requirements
- Experience balancing regulatory rigor with commercial practicality
- Practical, business-oriented judgment and strong ethical standards
- Ability to identify, prioritize, and escalate compliance risks
- Strong written and verbal communication skills
- Comfort interacting with senior executives, investment professionals, regulators, outside counsel, parent company stakeholders, and institutional investors
- Ability to operate independently while collaborating across functions and jurisdictions
- Strong organizational skills and attention to detail
- For positions in Québec, mandatory proficiency in French and English, spoken and written
- Travel may be required
Benefits
Comp & perks- Equal opportunity employer
- Accommodation available during the hiring process
- AI-enabled compliance function with investment in legal and compliance technology
- Clear pathway to leadership on the Compliance team, with potential trajectory to Chief Compliance Officer for a business line or registrant