Manager, Investment Compliance

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Manager, Investment Compliance

manager · Risk & Compliance

Location

Business - Credit

Brookfield Credit manages approximately $305 billion of assets globally, focused on a broad range of private credit investment strategies, including infrastructure and renewable credit, real estate, asset backed, and corporate credit. Return profiles span investment grade, sub-investment grade, and opportunistic. The business combines Brookfield’s substantial credit history with strategic partners, including Oaktree Capital Management, Castlelake, LCM Partners, 17Capital, and Primary Wave Music. As one of the world’s largest and most experienced credit managers globally, we deliver flexible, specialized capital solutions to borrowers, and attractive risk-adjusted returns to our investors

Brookfield Culture

Brookfield has a unique and dynamic culture.  We seek team members who have a long-term focus and whose values align with our Attributes of a Brookfield Leader:  Entrepreneurial, Collaborative and Disciplined.  Brookfield is committed to the development of our people through challenging work assignments and exposure to diverse businesses.

Job Description

Position Summary

The Manager, Investment Compliance Operations role is responsible for day-to-day oversight of the compliance workflows and requirements for Brookfield Credit. This role will partner closely with the Investments, Legal, Accounting, and Operations teams to ensure that any compliance alerts or breaches are identified, researched, and resolved in a complete, accurate and timely manner.  The Manager will be expected to provide guidance and mentorship to junior team members and will assist in the development of process and procedures that drive efficiencies and advance team objectives.

Key Responsibilities

• Provide oversight and review of the intraday and overnight batch compliance alert resolution process
• Review monthly and quarterly client investment compliance reporting and attestations for accuracy and completeness
• Develop and maintain processes and controls in consideration of internal and external auditing policies and procedures
• Work closely with the Legal and Front Office teams to interpret and implement state, provincial and national insurance regulator investment guidelines
• Work closely with the Legal and Investment Accounting teams to align asset classifications for more complex investments
• Review and sign off on Quarterly Rule Review and Monthly Rule Audit
• Enforce and ensure adherence to all control processes and procedures
• Identify areas of improvement within team procedures to drive efficiencies
• Execute and deliver on internal team projects, reconciliations, and ad-hoc reporting requests

Qualifications and Experience

• Bachelor’s degree in Accounting, Finance, Economics or related field of study
• 5+ years of progressively responsible and relevant work experience at an investment bank, asset manager, insurance company or in the investment/financial services industry
• Experience in implementing and managing complex investment projects, with an understanding of key legal/accounting/operational matters required.  Experience with private, structured finance a plus
• Proficiency in Microsoft Excel; exposure to Aladdin, Bloomberg, WSO, Clearwater, DUCO, Power BI, Power Query, or other data/reporting tools is an asset.

Skills and Competencies

• Familiarity with insurance regulatory and statutory frameworks, including reinsurance treaties and agreements
• Understanding of investment accounting practices and procedures
• Experience with private asset operations and structured finance
• Strong organizational and planning skills, with the ability to handle pressure and meet competing deadlines in a fast-paced environment
• Experience in analyzing and interpreting business periodicals, professional journals and technical/operational procedures.
• Adept at learning and relaying complex compliance concepts, and at translating legal document language into plain, accessible terms for audiences across Investment Operations
• Presents information clearly and responds to questions effectively from various stakeholders
• Solves practical problems and navigates ambiguity where limited standardization exists by collecting data, establishing facts and drawing sound conclusions

Salary Range: $125,000 - $145,000 CAD

Position Opening Reason:

Brookfield is committed to maintaining a Positive Work Environment that is safe, respectful; our shared success depends on it. We do not tolerate workplace discrimination, violence or harassment. We are proud to be an Equal Opportunity Employer and make employment decisions based on qualifications, merit, and business needs, without regard to any characteristic protected by applicable law. Applicant information is collected and handled in accordance with our Applicant Privacy Notice. As part of this commitment, we provide barrier-free and accessible employment practices in accordance with the Accessibility for Ontarians with Disabilities Act (AODA) and applicable human rights legislation. If you require a Human Rights Code-protected accommodation at any stage of the recruitment process, please let us know when contacted, and we will work with you to meet your needs.