Senior Compliance & Operations Officer

Join to apply for the Senior Compliance & Operations Officer role at InvestX Capital

This range is provided by InvestX Capital. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

CA$98,000.00/yr - CA$125,000.00/yr

The Company

InvestX was launched in 2014 with a mission to bring transparency and trust to the private equity market. We are a leading cross-border pre-IPO investor offering access to private equity deals that, for many decades, were exclusive to a limited investing population. With over US$500 million in investments and 80+ portfolio companies, work with leading North American registered firms to offer accredited investors private equity investment opportunities in companies including Open AI, Anthropic, SpaceX, Airbnb, SoFi, Spotify, DocuSign, and many more. We have successfully launched multiple SPVs (Special Purpose Vehicles) and diversified funds and are currently investing in our fifth fund.

InvestX is backed by leading financial institutions Jefferies, Virtu Financial, and Canaccord Genuity and has been featured in CNBC, Forbes, Bloomberg, U.S. News, Business Insider, Reuters, The Globe and Mail, and many other publications.

About the Role

We are seeking a Senior Compliance & Operations Officer who brings the combination of regulatory expertise and hands‑on operational execution in the private investment industry. This individual will support and oversee compliance for our Canadian registered Exempt Market Dealer (EMD), Investment Fund Manager (IFM), and Portfolio Manager (PM), while also contributing to the operational processes that enable compliant and efficient product launches (SPVs, funds), investor onboarding, and cross‑border deal flow.

You will be a key member of the Legal, Compliance & Operations functions—reporting to the CCO (Canada) and will work closely with colleagues across Canada and the U.S. This is an exciting role for someone who thrives at the intersection of regulation, investment operations, client onboarding workflows, risk management, and private markets.

Key Responsibilities:

Regulatory Compliance Leadership

• Lead, update, and monitor the firm’s full Compliance Program across the EMD, IFM, and PM entities.
• Translate regulatory requirements (NI 31-103, NI 45-106, NI 81-102 series, AML, FATCA, cross‑border rules) into operational processes.
• Conduct ongoing monitoring, testing, and remediation activities and oversee the Compliance Calendar.
• Manage regulatory correspondence, OSC/BCSC annual questionnaires, filings, audits, and examinations.
• Draft the annual CCO report for the Board and create clear, insight‑driven presentations for senior leadership.

Investor Onboarding & KYC/AML Operations

• Oversee complete onboarding workflows: KYC, KYP, suitability, AML/ATF, accredited investor verification, subscription documentation.
• Build and enforce scalable processes to ensure accuracy, speed, and risk mitigation.
• Review and approve investor files, subscription agreements, disclosures, and ongoing suitability assessments.
• Partner with sales, operations, and fund administration teams to ensure frictionless client experiences.

Product Compliance & SPV/Fund Operations

• Participate in product reviews, ensuring accurate KYP assessments for all SPVs, funds, and portfolio investments.
• Support the operational readiness and compliance components of new deals: internal workflows, disclosures, offering documentation review, conflicts of interest, and risk controls.
• Maintain oversight over fund/SPV lifecycle activities (launch, capital calls, reporting, audit coordination).

Marketing, Communications & Cross-Border Oversight

• Review and approve marketing materials, website updates, investor presentations, social campaigns, and corporate communications for regulatory accuracy.
• Support compliance alignment between Canadian registration requirements and expectations (e.g., broker‑dealer/RIA collaboration).
• Serve as a trusted advisor to internal teams on securities laws and regulatory interpretation.

Training, Leadership & Internal Enablement

• Supervise and support registered individuals, including registration, proficiency tracking, and ongoing monitoring.
• Deliver firm‑wide compliance, product, and regulatory training.
• Identify emerging regulatory trends, analyze impacts, and communicate actionable recommendations.

Operations & Continuous Improvement

• A key 2026 project is the implementation of a new fund administration platform. You will be the Canadian compliance subject‑matter expert working on reporting, client onboarding, and other workflows to improve efficiency.
• Partner with cross‑functional teams to improve workflows, automate compliance processes, and eliminate operational bottlenecks.
• Improve data integrity, reporting accuracy, and documentation standards across all compliance and operational systems.
• Manage internal and external inquiries to support efficient deal flow and investor servicing.

Qualifications

• 5+ years of experience in securities compliance, investment operations, or a hybrid role at an EMD, IFM, PM, broker‑dealer, fund manager, or private markets firm.
• Deep knowledge of Canadian securities regulation (NI 31-103, NI 45-106, NI 81-102 series) and comfort interpreting complex regulatory material.
• Hands‑on experience with KYC/AML onboarding, suitability assessments, workflow oversight, and investor documentation.
• Experience with compliance technology or workflow automation tools an asset.
• Demonstrated experience improving or building compliance or operations processes.
• Strong communication skills—able to explain regulatory concepts to business partners and senior leaders.
• High organizational rigour, excellent judgment, and the ability to manage competing priorities in a fast‑paced environment.
• Proficiency with MS365 (Excel, SharePoint, PowerPoint) as well as co‑pilot and other commonly used AI tools; comfort learning operational tools.
• Eligibility and willingness to travel between the US and Canada to attend occasional meetings.
• A Criminal Record Check and Background check including credit is required for this position.

Additional experience that would be ideal:

• Experience supporting SPVs, private equity funds, or alternative investment vehicles.
• Experience or exposure to working with or supporting U.S. registered entities (broker‑dealers, RIA).
• Relevant industry education (CSC, IFIC, CIM, PDO, CFA Level I+, CAMS).

Salary & Benefits

• Actual salaries may vary based on factors, such as skill, experience, location and qualifications for the role.
• 2026 range is $98,000 - $125,000 CAD plus bonus plan and share options.
• Comprehensive Health & Benefit plan including health/lifestyle spending account, personal days, winter closure days, generous paramedicals, and ortho.

If this opportunity sounds like it is a good match with your skills, background and career direction, please apply through our Careers Page (https://www.investx.com/careers/) with your cover letter and resume.

InvestX welcomes applications from all qualified candidates, including women, persons with disabilities, aboriginal peoples, Indigenous peoples, visible minorities, race, colour, religion, sex, sexual orientation, gender identity, or national origin. Reasonable accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

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