Vice President, Compliance and Risk
Sprott is looking for a highly motivated full-time Vice-President, Compliance and Risk, to join its team in Toronto. This position will report to the Chief Compliance Officer of Sprott and will assist in the day-to-day running of the compliance and enterprise risk management programs for Sprott.
The primary duties and responsibilities of this position include:
- Reviewing and approving both pre- and post-trade compliance.
- Assisting with the identification and minimization of enterprise wide risks.
- Reviewing sales practices and marketing materials for Sprott and its funds.
- Assisting with the annual compliance testing program.
- Assisting in the creation and documentation of new processes and procedures for new compliance initiatives and controls.
- Assisting with tracking any regulatory developments and conducting gap analysis accordingly.
- Assisting with any regulatory examinations.
- Assisting with preparation of executive management reporting.
- Undergraduate or graduate degree in a relevant field.
- At least 5 years’ experience in a compliance function with the financial services industry.
- Experience in the natural resources industry would be an asset.
- Ability to handle time pressures, competing mandates, difficult topics, conflict resolution, conflicting demands, and ambiguity with respect and efficiency.
- Demonstrated strong interpersonal skills with the ability to work effectively with senior management, team members and other internal/external colleagues.
- Demonstrated ability to work on problems/projects where the field analysis of situations or data requires an in-depth evaluation of multiple factors.
- Must be flexible, adaptable and take initiative.
- Sound judgment, decisive with an ability to prioritize competing demands.
- Professional team player who thrives in a dynamic environment.
- Logical, analytical and practical problem solver.
To apply for this position, please send your resume and cover letter to Sarah-Jane Martin – email@example.com with the position title (VP Compliance and Risk) in the subject line.
We thank all applicants for their interest; however, only qualified candidates as determined by Sprott will be contacted. Sprott Inc. does not accept unsolicited agency resumes or phone calls.