Vice President, Operations & Compliance
- Permanent
A senior opportunity to take ownership of operations and compliance within a boutique credit investment firm, working directly with the CEO in a lean team. The role offers broad exposure across regulatory compliance, fund operations, investor operations and key service-provider relationships.
Who- the Company:
A Vancouver-based boutique, deep-value credit asset manager specializing in leveraged finance, high-yield credit, distressed debt and restructuring situations.
What- the Role:
Our Client is seeking a Vice President, Operations & Compliance to own the firm's operational infrastructure and regulatory compliance program - a senior, hands-on role for an experienced asset management professional comfortable working directly with the CEO in a lean, entrepreneurial environment.
- Support the firm's Chief Compliance Officer function under NI 31-103 and CSA requirements for registered portfolio managers/investment fund managers.
- Maintain the compliance manual, code of ethics, personal trading, conflicts-of-interest policies and AML / KYC; conduct periodic testing.
- Manage regulatory filings and communications with the BCSC, other CSA members, and SROs, including registration renewals.
- Oversee daily fund operations — trade settlement, cash management, reconciliation, and NAV oversight with the fund administrator and custodian/prime broker.
- Manage due diligence and relationships with key service providers (administrator, custodian, auditor, prime broker, counsel).
- Own operational onboarding of credit instruments and restructuring positions (bank debt, private placements, distressed claims).
- Lead investor operations (subscriptions, redemptions, capital calls/distributions) and support institutional investor due diligence.
- Maintain the operational risk framework, internal controls, and business continuity plan; evaluate PM/OMS and compliance technology.
- Advise the CEO on regulatory strategy and governance; build out the operations/compliance team as the firm scales.
Who- the Candidate:
- CPA, CFA designation and/or LLB/JD required; CSC, CCOQE, or PDO an asset.
- 5–10 years of progressive operations or compliance experience, ideally at an asset management, hedge fund, or private credit firm.
- Direct experience with Canadian securities regulatory regimes for registered portfolio managers/IFMs; U.S. or cross-border experience an asset.
- Familiarity with credit and fixed-income instruments (bank debt, high-yield, distressed claims) and their operational settlement.
- High attention to detail, sound judgment, and comfort operating independently and hands-on in a small-team environment.
How Much:
$100,000-$200,000 commensurate with experience, plus comprehensive benefits package.
Where:
Based in the company’s Vancouver head office. This is an onsite role.
When & How to Apply:
SWIM is presenting candidates directly to the hiring team for review. If you already have a Recruiter at SWIM, please reach out very soon. If you do not yet have a contact at Swim Recruiting, please hit 'APPLY NOW' to send us your resume. Thank you!