Manager, Compliance

Position

Manager Compliance

Location

Toronto ON

Employment Type: New Full-Time Permanent position

Salary: $110K - $130Kannually plus incentive compensation

Are you a self-starter with an entrepreneurial spirit and want to be part of one of Canadasfastest-growing exchangetradedfund (ETF) providers Do you thriveonwearing multiple hats and being a key contributor tonurturing a culture of compliance within the firm

Hamilton ETFs offers:

• A competitive compensation packageincluding comprehensive health and wellnessbenefits;

• Collaborationopen-mindednessandservice-focusedmindsets;

• Diverse and inspiring colleagues and approachableleaders;

• Opportunity to evolve in a growing firm.

Heresa bit about Hamilton ETFs:
Proudly independent Hamilton ETFs is one of Canadas fastest growing exchange traded fund (ETF) providers offering a diverse suite of investment solutions for Canadian investors. Since launching its first ETF in 2016 Hamilton ETFs has grown to $14 billion in ETF assets under management driven by a commitment to excellence disciplined product development and portfolio management. Headquartered in Torontos financial district we pride ourselves on fostering a collaborative and entrepreneurial workplace where high standards and accountability are balanced with a supportive team-oriented culture. We are seeking a motivated individual to join our team of experienced and talented professionals.

Hereswhat you will do as Manager Compliance:

Working closely with the Chief Compliance Officer andCompliance team you will play a key role in the day-to-day operation enforcementand ongoing enhancement of the firms compliance programandprovide practical risk-based guidance across the business. You willreviewsales communications and marketing materialsto ensure compliance support regulatory filings and examinationsmonitorand assess regulatory developments and help translate regulatory requirements into clear internal policies and procedures. This role requires sound judgment strong attention to detail and the ability to partner effectively with sales marketing and operations whilemaintaininga firm and thoughtful compliance perspective.

The Manager Complianceis expected to lead and/or support the following key responsibilities:

• Support the design implementation and ongoing maintenance of the firms compliance programin accordance withapplicable Canadian securities laws and regulatory guidance

• Monitor regulatory developments (CSA OSC etc.) andassistin assessingpotentialimpacts to thefirms policies procedures and practices

• Assistwith regulatory examinations

• Provide support to compliance leadership including coverage as appropriate

• Review sales communicationsmarketing materials digital content and promotional initiatives

• Reviewand oversee outside business activities (OBAs) gifts & entertainmentreporting andemployeepersonal trading matters

• Monitor and review portfolio transactions within the investment funds

• Review investment fund constating and continuous disclosure documents

• Conduct internal audits riskassessmentsand compliance testing for adherence with policies and internal controls

• Develop and deliver compliance training tostaffas needed

• Participate inmeetings and communications with the Independent Review Committee (IRC) in addressing potential conflict of interest matters as they may arise

• Participatein the review of the management reportsoffund performance

• Monitorsales-related expenses and business promotion activity (including sponsorshipsandevents)to ensure compliance with NI 81-105 and internal policies

Hereswhatyoullneed to be successful:

• Bachelors degree inbusinessfinanceor a related field;

• 5years ofexperience in acompliance environment for an ETF mutual fundissueror relevant experience at a Canadian Asset Manager (IFM/PM)

• Working knowledge of securities regulations (includingNational Instrumentsand 81-107)

• Knowledgeable and proficient use of computer programs ExcelPowerPointandWord

• Strong written and verbal communication skills

• Exceptional organizational communication and analytical skills

• A team-oriented mindset with an interest and aptitude to add value outside of core responsibilities

Interested in being a part ofHamilton ETFsWe look forward to your application!

Hamilton ETFsis committed to meeting the accessibility needs of all applicants throughout the recruiting and selection let us know about any accommodation and/or support note only those candidates selected for an interview will be contacted.

Hamilton ETFs is working in partnership with HR à la carte for our recruitment efforts.

Please notewe are only accepting applications from those authorized to work in Canada and we are not currently sponsoring anytemporary or permanentwork visas.

Use of AI in Hiring:Some stages of our recruitment process may use AI-assisted tools to support recruitment efforts; however all applications are screened and assessed by human addition all final hiring decisions are made by humans.

Required Experience:

Manager

Experience: years
Vacancy: 1
Yearly Salary Salary: 110 - 130