Job Posting: Director, Finance & Compliance

Trade in your job and join our team to make an immediate impact as the first incumbent of the newly created position of –

Director, Finance and Compliance

Experience the exciting industry of mutual funds, the validation of making a difference for our loyal, mostly public servant, client-base, and the continuous challenge of meeting regulatory compliance requirements efficiently. Of course, this is in addition to providing us with your Financial Management and internal controls abilities –

As a CPA with 5 years of controls, analysis and reporting experience who craves the Big Finance Industry feel yet has a high preference for working in a small, stable, entrepreneurial work environment. This is a job with growth potential –

Succession planning is in action mode. We have created this brand-new position with a continuous learner and team player in mind. Join now and grow your skills and your job into an Executive VP position with your hard work and our investment in your continuous CCO education at the Canadian Securities Institute, and with the support and mentoring of our senior leaders.

More about us and how you can make a difference:

Corporate Structure, Mission and Governance
Tradex is a micro, Ottawa-based private mutual fund management company and mutual fund dealer with over $330 million in assets under administration. Our Mission is not to make profit but –

Primarily to provide professional financial advice to public sector employees and their families and to provide high-quality mutual funds and other investments at low cost.

The new position of Director, Finance and Compliance reports to the President and CEO, who reports to the Board of Directors.

Key Drivers Leading to the Creation of the Position
Regulatory Compliance. The Financial industry is in constant evolution and our regulators are applying increasingly broad compliance parameters that require systemic efficiency, rigour, control and disclosure practices.

While Tradex has a blended make-buy approach to compliance monitoring and reporting, we wish to optimize these functions, over time, under a dedicated lead and business unit. Tradex has a Chief Compliance Officer and the Director, Finance and Compliance, will bring his or her skills to evolve and optimize our compliance framework, with a view to reach for the EVP and Chief Compliance Officer position.

Evolution of the business. The administration of internal corporate services has evolved slowly and informally with the contribution of in-house talent. Currently, many of the internal corporate services functions are allocated across VPs as a complementary function.

Our employee demographics are changing, and we are looking to ensure we are modernizing our practices through a more robust and focused approach.

The Director, Finance and Compliance will be responsible initially for taking on most of the responsibilities for Financial Management and Reporting and certain responsibilities for Administration, Corporate Policies, Human Resources Management and IT oversight, especially as relates to the dealer back office function.

We expect the Director to work hand-in-hand with the VP, Operations and the whole Tradex team to develop a framework for corporate services and a migration plan that is in synch with our succession plan.

You don’t need to walk on water to reach out to us – but we are looking for a special type of person. A Big Fish in a small pond mindset, you are a learner, a hard-worker, humble and comfortable in a changing environment. While the job is for you, your success leads to our client’s success. As we serve our clients in Quebec and across Canada, your bilingualism would definitely be an asset for all.

Please send your resumé and a covering letter, stating your salary expectations, by March 15, 2019 to:
Blair Cooper, President and CEO
Tradex Management Inc.
Suite 1600, 85 Albert Street
Ottawa, ON
K1P 6A4

All applications will be held in strictest of confidence and only retained candidates will be contacted.

Thank you for expressing your interest in Tradex.

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