Chief Compliance Officer

ABOUT ONEX:

Onex is an investor and asset manager that invests capital on behalf of Onex shareholders and clients across the globe. Formed in 1984 we have a long track record of creating value for our clients and shareholders. Onex became a public company in 1987 and is listed on the Toronto Stock Exchange under the symbol ONEX. Onex two primary businesses are Private Equity and Private Equity we raise funds from third-party investors and invest them along with Onex own investing capital through the funds of our private equity platforms: Onex Partners and ONCAP. Similarly in Credit we raise and invest capital across several private credit liquid credit and public equity strategies.

Our investors include a broad range of global clients including public and private pension plans sovereign wealth funds insurance companies family offices and high net worth individuals. Onex has $55.9 billion in assets under management of which $8.4 billion is Onex own investing capital. We generate value for our shareholders through two segments: Investing and Asset Management.

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Onex is seeking a Chief Compliance Officer to lead the firms compliance program and champion a culture of integrity and regulatory excellence. This role includes setting compliance strategy and ensuring compliance functions meet the regulatory standards across Canadian securities regulators. The CCO will guide a compliance team and partner with leaders across the firm bring confident leadership meticulous execution and sound judgement to this role. It is an opportunity to make an immediate impact and shape how the firm delivers compliant performance. The CCO will be reporting to the Managing Director and General Counsel.

Key Responsibilities:

• Develop implement documented robust and effective compliance policies and procedures.
• Ensure adherence to Canadian securities laws and regulatory requirements including compliance with National Instrument-106 and 81-107 and compliance with all relevant provincial and national securities regulators.
• Ensure adherence to client reporting including CRM2 and Total Cost Reporting obligations.
• Act as the primary contact for the Independent Review Committee of the public mutual funds and ensure preparation of IRC reporting.
• Oversee policies related to AML/ATF programs privacy compliance code of ethics marketing review and other compliance functions.
• Oversee AML/ATF programs in compliance with applicable Canadian and cross border regulatory requirements.
• Act as the primary contact for regulatory authorities and manage regulatory interactions and examinations.
• Implement and maintain the firms privacy program and act as the firms designated privacy officer.
• Prepare and coordinate regulatory filings and manage responses to regulatory queries and audits.
• Monitor and interpret regulatory developments across all Canadian provincial and advise senior leadership on implications.
• Establish maintain and continuously improve the firms compliance manual policies and procedures ensuring they meet regulatory requirements and adherence to enterprise-wide policies and procedures.
• Review marketing and sales communications to ensure adherence to Canadian regulatory requirements.
• Oversee adherence to compliance related policies and procedures assess outside activities and manage conflicts of interest disclosures.
• Design and deliver compliance training for staff and leaders of the firm.
• Build and execute regular assessments to test control effectiveness contribute to the firms risk program and relevant committees with clear recommendations. Identify and implement compliance frameworks for new initiatives and projects.
• Provide compliance training and assessments for all staff and leadership.
• Partner with other areas of the business to integrate compliance into operations and decision-making.
• Prepare and submit regular compliance reports to senior leadership and the Ultimate Designated Person.

Candidate Profile:

• 5 years in compliance roles in the investment management or financial services industry.
• Previous registration as a Chief Compliance Officer with Canadian securities authorities or completion of courses/qualification required to register as a CCO with securities authorities (e.g. Canadian Securities Course Chief Compliance Officer Qualifying Exam Partners or Directors and Senior Officer courses).
• Demonstrates accuracy and thoroughness ensures quality and a strong attention to detail and follow-through; committed to implementing best practices and continuous improvement.
• Presence and self-confidence to interface with the key constituents of the firm including process owners senior executives and other stakeholders.
• A high standard of integrity and ability to maintain the highest degree of confidentiality.
• Strong business acumen and work ethic with the desire ability and curiosity to think strategically to navigate competing issues and improve current processes.
• Extensive knowledge of Canadian securities legislation and compliance requirements (familiarity with U.S./other international securities laws an asset but not required).
• Strong analytical skills with an entrepreneurial spirit.

Compensation and Additional Information:

The expected base salary range for this position is C$130000 to C$180000 on an annualized basis.

All-in compensation may vary based on several factors such as relative experience education level attained certification(s) geographical location etc. to account for local market conditions.

This position is for a current vacancy.

Sustainability:

As a public company we are committed to delivering value for all of our stakeholders our shareholders investors employees operating companies and the communities in which we operate. Responsible governance throughout Onex and across our platforms is fundamental to the success of our organization. We hold ourselves to the highest standards of good governance which builds trust and confidence in our stewardship of capital.

Consistent with our long-held belief that responsible investing is both the right approach to investing as well as a driver of meaningful stakeholder value we continue to make enhancements to our sustainability program. Recent initiatives include the addition of resources to our sustainability team and the measurement and management of carbon emissions across Onex and our investment platforms. To remain aligned with emerging best practices we participate in several industry initiatives including the ESG Data Convergence Initiative (EDCI) Initiative Climate International (iCI) the Principles for Responsible Investment (PRI) and the IFRS Sustainability Alliance among others. We expect our program to continue to expand in line with this rapidly evolving area while remaining rooted in our founding principle of responsible investing. Further information on Onex Sustainability Policy and Climate Strategy can be found on our website .

Onex is committed to fostering an inclusive and accessible workplace. If you require accommodations at any stage of the recruitment process please contact .

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Our Team & Commitment:

Onex is led by the firms CEO Bobby Le Blanc as well as experienced leaders at each of our businesses. We have approximately 120 investment professionals across all platforms supported by approximately 165 professionals dedicated to our corporate functions and investment platforms. Consistent with our One Onex approach the teams share and leverage sector expertise and sourcing and origination of opportunities across all business lines. Our culture is guided by our strong commitment to accountability intellectual honesty and respect for all our partners and stakeholders. Onex was formed on principles of entrepreneurialism and responsible investing and our team is united in recognizing the value of collaboration diversity of perspective and background and an inclusive environment. Our team is a critical factor in our success and attracting and retaining the best people and strongest investors are an important competitive advantage. Also crucial to our long-term success is the alignment of interests between the Onex management team the Onex Board of Directors shareholders and our limited partners. Members of our management team and Board of Directors have a significant long-term ownership in Onex shares and invest meaningfully in our funds. We believe this alignment creates stronger relationships with both our limited partners and shareholders.

Diversity Equity & Inclusion:

Onex recognizes that a diverse team and inclusive environment are vital in contributing to our continued success as an investor and asset manager. We believe that diverse perspectives create better outcomes for us and our stakeholders including the companies we invest in our shareholders investors and clients as well as the communities we commitment to diversity and inclusion includes increasing our focus on attracting and retaining employees from diverse backgrounds creating additional awareness of diversity issues and benefits fostering and inspiring a more supportive environment where inclusivity is expected and prioritized and embedding accountability for diversity throughout the Diversity & Inclusion Leadership Council which is co-chaired by our CEO and our Head of Shareholder Relations and Communications includes representation from across all business platforms and geographies. The Council is responsible for championing diversity and inclusion across the firm including supporting the development and success of Onex employee resource groups.

Onex is an equal opportunity employer. We are committed to providing equal employment opportunities regardless of race color ancestry religion sex national origin sexual orientation age citizenship marital status disability gender identity veteran status or any other characteristic protected by applicable law. Onex is committed to fostering an inclusive and accessible workplace. If you require accommodations at any stage of the recruitment process please contact

Applicants must be legally entitled to work in the country where the role is based or eligible for any necessary work authorization or permit.