Compliance Director - Boutique Investment Firm

Director of Compliance Are you an experienced compliance professional with a passion for the investment management business? Do you have a solid understanding of the rules and regulations governing the industry in Canada and the U.S.? Are you looking for an opportunity to join a small, rapidly growing portfolio manager that serves high-net-worth clients? If you answered yes to these questions, then we have an exciting opportunity for you!

This boutique investment management firm is subject to regulation and oversight by multiple regulators and government bodies, such as the Ontario Securities Commission, the U.S. Securities and Exchange Commission, and FINTRAC. We are looking for a Director of Compliance to assist in continuing to evolve our compliance program and ensure that it is highly effective and aligned with our business goals and client needs.

Responsibilities

• Prepare and present training on compliance policies and program.
• Manage firm and individual registrations.
• Prepare and present periodic reporting on compliance to firm’s leadership team.
• Maintain a strong understanding of regulations applicable to the firm and its business in Canada and the U.S. and maintain log of enacted and proposed regulatory changes impacting the firm.
• Review client onboarding documentation, marketing decks, and other material to support compliance/CCO approval.
• Draft and maintain compliance policies to ensure compliance with requirements and industry best practice. This will be done with an appreciation of the impact on the client experience.
• Stay abreast of regulatory changes with the overall goal of ensuring policies and practices at the firm comply with current and upcoming regulations and best practices.
• Manage the day-to-day compliance program including monitoring and testing, escalating deficiencies and recommending solutions.

Requirements

• Pays high attention to detail and accuracy.
• Strong written and verbal communication skills.
• Ability to manage ad hoc projects that require research, analysis and implementation.
• Team player.
• Highly ethical and practical thinker able to apply regulations with an appreciation for the business impact.
• At least 8 years of relevant compliance experience in the investment management industry.
• Knowledge of Canadian securities laws, regulations, and guidelines, especially as they relate to portfolio managers. Experience with U.S. Advisers Act is an asset.
• Ability to translate complex regulations into clear, plain-language policies and procedures.

If you are interested in this role, please apply by clicking the button below. We offer a competitive compensation and benefits package, a collaborative work environment, and opportunities for professional growth.

We look forward to hearing from you.