Compliance Manager

Building on more than 30 years of businessexpertise, we are an international wealth,bankingand asset management software provider empowering clients to embrace their future challenges while providinggreat performancetoday. TheObjectwayGroup is a future-proof technology player with a well-establishedtrack recordin the financial services industry with over €120millionofconsolidatedrevenue. The Group is a global Top 100 fintech provider (IDC ranking), whose clients include 250+ leading wealth managers, banks, asset managers, fund managers,insurersand outsourcers in more than 15 countries. With over 800 professionalsoperatingfrom Italy, UK, Belgium, Germany, Switzerland and Canada, the Group serves clients in 4 continents, supporting approximately 100,000 investment professionals to manage more than €1 trillion in assets.

In January 2024, Nest Wealth became part of theObjectwayGroup, combining the strengths of two global fintech leaders to provide innovative solutions spanning the entire wealth and asset management value chain.

The opportunity This position will initiallyoperateat the ComplianceManagerlevel, with the expectation of transitioning to Chief Compliance Officer (CCO)under NI 31-103.

The successful candidate will be accountableforestablishing, maintaining, and overseeing the firm's compliance systemin accordance withNational Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations, applicable provincial securities legislation, and guidance issued by the Canadian Securities Administrators (CSA).

Hired as ComplianceManager,theexpectation is that this role willtransition toCCOwithinapproximately6 months of the start date. The CCOserves as the firm's designated compliance officer and works closely with the Ultimate Designated Person (UDP), executive leadership, and business teams to promote a strong culture of compliance, ethical conduct, and investor protection.

This role provides independent oversight of the firm's regulatory compliance framework while supporting responsible business growth and operational excellence.

How you'll make an impact Regulatory Compliance

Serve as the firm's registered Chief Compliance Officer under NI 31-103

Establish andmaintainpolicies and procedures that support compliance with securities legislation

Monitor the effectiveness of the firm's compliance system and recommend enhancements where appropriate

Ensure the firmmaintainsan effective supervisory framework

Advisesenior managementregardingregulatory obligations and emerging regulatory developments

Maintain ongoing awareness of changes to Canadian securities laws, CSA guidance, and self-regulatory organization requirements, where applicable

2. Compliance Oversight

Assess whether the firm's policies and proceduresremainadequate and effective

Conduct ongoing compliance monitoring and testing

Identifycompliance deficiencies and oversee remediation activitiesl

Maintainrecords supporting the firm's compliance program

Escalate material compliance issues to the UDP, executive management, and the Board, asappropriate

3. Regulatory Reporting

Coordinate regulatory filings and required reporting obligations

Support securities commission compliance reviews and regulatory examinations

Act as the primarycompliancecontact for securities regulators

Prepare compliance reports for senior management and the Board of Directors

4. Risk Management

Perform periodic compliance risk assessments

Identifyemerging regulatory and operational risks

Develop action plans to address identified compliance gaps

Monitor implementation of corrective actions

5.Lead Key Compliance Functions

Know Your Client (KYC)

Know Your Product (KYP), where applicable

Suitability obligations

Conflicts of interest management

Complaint handling

Client disclosure requirements

Recordkeeping requirements

Marketing and communications review

Personal trading policies

Outsourcing oversight

6. AML & Financial Crime

Work closely with the firm's Anti-Money Laundering Compliance Officer (or fulfill both roles whereappropriate)

Support compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA)

Oversee compliance processes relating to client identification, ongoing monitoring,sanctionsscreening, and suspicious transaction reporting

7. Training & Culture

Develop and deliver compliance training

Promote a culture of integrity and ethical conduct

Provideregulatory guidance to employees and leadership

Ensure employees understand their regulatory responsibilities

8. Governance

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