The Opportunity
We9re looking for a knowledgeable, detail-oriented Manager, Compliance to join our Compliance team, reporting to the Senior Director, Compliance. You will focus on sales, marketing and distribution compliance, vendor oversight and key compliance projects, while supporting the firm9s AML, KYC and KYP programs. You9ll partner with Sales, Marketing, Product, Operations and Technology to provide timely, practical guidance and strengthen our compliance program.
The base salary for this role is $110,000-$120,000, depending on experience, skills, education and team budget, plus a discretionary bonus. As an employee-owned firm, top performers can participate in our equity ownership program over time. Benefits include profit sharing, extensive health and dental coverage, a healthcare spending account, a minimum of 15 vacation days, parental leave top-up, learning and development reimbursement, fitness reimbursement, and charitable donation matching.
What You Will Do
- Provide day-to-day compliance guidance on sales, marketing and distribution activities.
- Review sales practices requests and marketing materials, including presentations, digital content, campaigns and social media.
- Manage and coordinate compliance vendors, including ongoing requirements, enhancements and issue resolution.
- Support and lead compliance projects, including process improvements, regulatory changes and technology-enabled solutions.
- Support AML and financial crime compliance, including monitoring, escalations and documentation.
- Support KYC requirements, client onboarding and due diligence, and KYP reviews of new products and material product changes.
- Monitor industry and regulatory changes and advise stakeholders on their impact.
- Help develop and implement compliance policies, procedures, controls and training.
- Support compliance monitoring, regulatory filings, management reporting, audits and regulatory reviews.
What You Bring
- Post-secondary education in Business, Finance, Commerce, Law or a related field.
- 5+ years of compliance experience in asset management, investment funds, securities or financial services.
- Strong knowledge of Canadian securities regulation for investment-fund managers, portfolio managers and exempt-market dealers.
- Experience in sales, marketing and distribution compliance, including reviewing client-facing materials.
- Practical knowledge of AML, KYC, KYP, suitability, client due diligence and record-keeping.
- Experience leading or supporting cross-functional projects and regulatory change initiatives.
- Strong analytical, project-management and organizational skills, with clear written and verbal communication.
- Sound judgment, integrity, discretion and attention to detail, with a collaborative, proactive mindset.
- Asset: experience managing compliance vendors or technology-enabled processes; relevant securities or compliance courses and designations.
Our Commitment to Employees
At PICTON Investments, we take pride in enhancing our employees9 experiences through a comprehensive suite of exceptional perks and programs. Our benefits include corporate fitness reimbursement and discounts, VersaFi memberships (formerly Women in Capital Markets), PICTON Investment Counseling and portfolio management services, volunteer and charitable donation matching, maternity and parental leave top-up, recognition awards, semi-annual performance bonuses, a generous annual vacation entitlement (minimum of 15 days per year), training and development reimbursement, extensive health and dental benefits, a healthcare spending account, and more.
These offerings are designed to support your career growth, well-being, and overall success. Join us and thrive in an environment that values and invests in you!
