Vice President, Compliance and Risk

Location:               Toronto

Position Description

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.

Position Requirements

  • 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 – sjmartin@sprottconsulting.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.