The Opportunity:Our client, a boutique investment management firm, is seeking a Chief Compliance Officer who will lead the firm's compliance program, ensuring the firm meets all of its Canadian and US regulatory requirements. The ideal candidate brings deep regulatory expertise, sound judgment, and the ability to build a culture of integrity and risk awareness.
What You'll Be Doing:- Oversee the firm's compliance program in accordance with Canadian and US regulatory requirements
- Serve as the primary point of contact for regulators, including managing reviews and inquiries
- Ensure timely and accurate regulatory reporting
- Establish and execute an annual compliance monitoring and testing plan
- Monitor adherence to AML/ATF obligations under applicable Canadian regulations and U.S. requirements
- Deliver ongoing compliance training to staff
- Promote a strong culture of compliance, ethics, and regulatory awareness throughout the organization
- Provide proactive compliance guidance to senior leadership
- Prepare compliance reports for senior management and the Board of Directors
What You'll Need to Be Successful:- Candidate must be registrable or willing to become registrable as chief compliance officer
- Chartered Professional Accountant or legal background preferred
- Minimum 3+ years of relevant experience in asset management
- Knowledge of Canadian securities requirements applicable to an IFM/PM/EMD firm
- Ability to manage enterprise-level compliance program
- Exceptional communication, leadership, and problem-solving skills
Compensation Range: $150,000 - $190,000
