Compliance Officer
An alternative investment firm is seeking a Compliance Officer to join their Global Regulatory and Compliance team. In this role, you will play a pivotal part in assisting with various regulatory activities both at the organizational level and for investment vehicles.
This position will entail overseeing all regulatory and compliance matters for operations in Canada.
About the firm :
Our client's financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend public and private market strategies for their high-net-worth clients.
As of 2024, they service over $150 billion in global client assets.
Responsibilities :
- Develop a compliance strategy and establish guidelines to support the company's expansion across Canada while ensuring sustainability and adherence to regulations.
- Collaborate closely with senior management, colleagues, regulators, and external stakeholders to identify potential risks to the firm and its clients, and implement measures to mitigate them.
- Design and implement appropriate policies, procedures, and internal controls, tailored to the business model, to ensure the firm fulfills its regulatory obligations in Canada.
- Serve as the primary source of compliance knowledge within the organization and act as a trusted advisor to senior management, providing guidance and training on compliance matters as necessary.
Qualifications :
- Possess at least 5 years of senior compliance, business controls, operations, and regulatory experience within an investment fund manager, portfolio manager, or exempt market dealer entity regulated by Canadian securities authorities.
- Demonstrated expertise in compliance within the private fund and investment management sector.
- Thorough understanding of Canadian securities laws, regulations, and investment fund regulations, along with familiarity with other relevant regulatory frameworks in the investment management industry.
- Ability to adapt and thrive in a fast-paced, high-growth environment characterized by constant evolution.
This position will operate on a hybrid schedule out of the Toronto office, requiring regular in-person attendance.
Compliance Officer
An alternative investment firm is seeking a Compliance Officer to join their Global Regulatory and Compliance team. Serve as the primary source of compliance knowledge within the organization and act as a trusted advisor to senior management, providing guidance and training on compliance matters as ...
Sales Communications Compliance Officer
The Sales Communications Compliance Officer will report directly to the Senior Compliance Officer and will be responsible for the supervision and approval of all Advisor and Head Office advertising, sales communications, and co-op marketing ventures. The Sales Communications Compliance Officer must ...
Chief Compliance Officer
Previous experience in a Chief Compliance Officer (CCO) or similar role with a proven track record of successful leadership in Canadian investment related regulatory compliance. As the Chief Compliance Officer (CCO) at HUB Capital, a mutual fund dealer level member of the Canadian Investment Regulat...
Senior Compliance Officer, Canadian Personal & Business Banking Compliance
Analyzes and reports compliance information to Compliance and business/group management. Analyzes and reports compliance information to Compliance and business/group management. Assists in the implementation, maintenance and administration of the Canadian Personal and Business Banking compliance pro...
Senior Compliance Officer, Canadian Personal & Business Banking Compliance
Analyzes and reports compliance information to Compliance and business/group management. Analyzes and reports compliance information to Compliance and business/group management. Assists in the implementation, maintenance and administration of the Canadian Personal and Business Banking compliance pro...
Quality and Regulatory Compliance Officer
The Quality and Regulatory Compliance Officer will:. Minimum 5 years of recent experience in a pathology and medical laboratory and two years in a similar Quality and Regulatory Compliance officer role is required. Provide training for internal auditors, facilitate internal audits, issue audit repor...
Financial Compliance Officer
As a Financial Compliance Officer, you'll play a crucial role in ensuring compliance with regulatory standards, contributing to the safety and security of consumers. Conduct thorough financial statement bench reviews to ensure compliance with relevant regulations. Plan and execute on-site inspection...
Legal and Compliance Officer
Legal Compliance: - Develop and implement compliance policies and procedures - Stay abreast of relevant laws and regulations affecting the company's operations - Provide legal advice on compliance-related matters and interpret regulatory requirements - Ensure contracts align with organizational pol...
Legal Counsel and Senior Compliance Officer
Analyses/reviews and reports compliance data and associated data to Compliance and business/group management. Analyzes and reports compliance information to Compliance and business/group management. Analyzes and reports compliance information to Compliance and business/group management. Using knowle...
Legal Counsel and Senior Compliance Officer
Analyses/reviews and reports compliance data and associated data to Compliance and business/group management. Analyzes and reports compliance information to Compliance and business/group management. Analyzes and reports compliance information to Compliance and business/group management. Using knowle...