Chief Compliance Officer

The Chief Compliance Officer is the registered compliance head of the entity. The role carries regulatory obligations under National Instrument 31-103 and is accountable to the board of directors of VanEck Canada Inc.

The first twelve months are a build. The successful candidate will refine the existing Canadian policy manual, supervisory framework, and interact with existing Canadian compliance-focused vendors. The person in this role will design the compliance program, secure registration, and put operating controls in place before the platform scales. VanEck global policies are available as a starting point, but they will require adaptation to Canadian requirements rather than direct adoption.

Regulatory Designation and Accountability

• Designated as Chief Compliance Officer under subsection 11.3(1) of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.
• Holds the personal obligations set out in section 5.2 of NI 31-103: establishing and maintaining policies and procedures for assessing compliance, monitoring and assessing compliance with those policies, reporting instances of material non-compliance to the Ultimate Designated Person as soon as possible, and submitting an annual compliance report to the board of directors.
• Works alongside the Ultimate Designated Person who is also the Chief Executive Officer of VanEck Canada Inc.
• Holds registration across each additional Canadian jurisdiction as applicable.

Core Responsibilities

Compliance program and supervision

• Refine and maintain the compliance policies and procedures manual covering every registration category the firm holds.
• Build the monitoring and supervisory framework, including the annual testing calendar, sampling methodology, and evidence standards.
• Maintain the compliance risk assessment and refresh it as products, distribution channels, and jurisdictions are added.
• Deliver the annual compliance report to the board and interim reporting on material issues.
• Own individual registration and continuing fitness, including National Registration Database filings, notices of change, outside business activity review, and annual attestations.

Fund and product regulation

• Oversee compliance with National Instrument 81-102 Investment Funds, National Instrument 81-106 Investment Fund Continuous Disclosure, National Instrument 41-101 General Prospectus Requirements, and the ETF Facts regime.
• Support the Independent Review Committee and manage the conflict of interest matters referred to it.
• Review new product proposals for regulatory feasibility, including any exemptive relief required, before commitments are made to the market.
• Oversee investment restriction monitoring, including derivatives use, concentration limits, illiquid assets, securities lending, and related party dealings.
• Coordinate listing and continued listing obligations with the exchange in collaboration with Product team

Registrant obligations and client conduct

• Implement and monitor the Client Focused Reforms requirements applicable to the firm, including identification, disclosure, and control of material conflicts of interest.
• Advise on Total Cost Reporting obligations
• Own the complaint handling, referral arrangement, and books and records frameworks.

Marketing and sales communications

• Review and approve sales communications against Part 15 of National Instrument 81-102 and National Instrument 81-105 Mutual Fund Sales Practices.
• Establish the marketing review workflow and the record of approvals, coordinated with the VanEck global review process rather than duplicating it.
• Oversee compliance with Canada Anti-Spam Legislation for electronic marketing and event invitations.

Vendor oversight and operations

• Establish the outsourcing oversight framework covering the fund administrator, custodian, transfer agent, index provider, and technology vendors.
• Review service provider agreements for regulatory adequacy and monitor delivery against them.
• Own business continuity, cyber incident response, and records retention for the Canadian entity.

Regulatory relationships

• Serve as the primary contact for the Ontario Securities Commission and other Canadian securities regulators.
• Manage compliance reviews, examinations, deficiency responses, and information requests.
• Track regulatory developments and translate them into specific changes to the program rather than circulating summaries.

Governance and legal coordination

• Support the IRC, and board of directors of VanEck Canada Inc., including meeting materials, minutes, and corporate records.
• Instruct and manage outside Canadian counsel on securi