Compliance Officer

3 weeks ago

Old Toronto, Canada Larson Maddox Full time

An alternative investment firm is seeking a Compliance Officer to join their Global Regulatory and Compliance team. In this role, you will play a pivotal part in assisting with various regulatory activities both at the organizational level and for investment vehicles. This position will entail overseeing all regulatory and compliance matters for operations in Canada.

About the firm:

Our client's financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend public and private market strategies for their high-net-worth clients. As of 2024, they service over $150 billion in global client assets.

Responsibilities:

  • Develop a compliance strategy and establish guidelines to support the company's expansion across Canada while ensuring sustainability and adherence to regulations.
  • Collaborate closely with senior management, colleagues, regulators, and external stakeholders to identify potential risks to the firm and its clients, and implement measures to mitigate them.
  • Design and implement appropriate policies, procedures, and internal controls, tailored to the business model, to ensure the firm fulfills its regulatory obligations in Canada.
  • Serve as the primary source of compliance knowledge within the organization and act as a trusted advisor to senior management, providing guidance and training on compliance matters as necessary.

Qualifications:

  • Possess at least 5 years of senior compliance, business controls, operations, and regulatory experience within an investment fund manager, portfolio manager, or exempt market dealer entity regulated by Canadian securities authorities.
  • Demonstrated expertise in compliance within the private fund and investment management sector.
  • Thorough understanding of Canadian securities laws, regulations, and investment fund regulations, along with familiarity with other relevant regulatory frameworks in the investment management industry.
  • Ability to adapt and thrive in a fast-paced, high-growth environment characterized by constant evolution.

This position will operate on a hybrid schedule out of the Toronto office, requiring regular in-person attendance.

#J-18808-Ljbffr

  • Compliance Officer

    1 week ago

    Old Toronto, Ontario, Canada PolicyMe Corp. Full time

    OverviewPolicyMe is looking for a Compliance Officer to ensure our operations comply with legal and regulatory frameworks, reporting to the VP of Business Operations/COO. You will establish and maintain a compliance program aligning with our goals. Your role involves supervising advisor activity for ethical standards and customer protection.PolicyMe is...

  • Compliance Officer

    2 months ago

    Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Compliance Officer (MFD)Department: Business Conduct ComplianceRegion: TorontoStatus: Permanent Full-time (Hybrid)CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt...

  • Compliance Officer

    2 months ago

    Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Compliance Officer (MFD)Department: Business Conduct ComplianceRegion: TorontoStatus: Permanent Full-time (Hybrid)CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt...

  • Compliance Officer

    2 months ago

    Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Compliance Officer (MFD)Department: Business Conduct ComplianceRegion: TorontoStatus: Permanent Full-time (Hybrid)CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt...

  • Compliance Officer

    7 days ago

    Old Toronto, Ontario, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Compliance Officer (MFD)Department: Business Conduct ComplianceRegion: TorontoStatus: Permanent Full-time (Hybrid)CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity...

  • Compliance Officer

    3 weeks ago

    Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Compliance Officer (MFD)Department: Business Conduct ComplianceRegion: TorontoStatus: Permanent Full-time (Hybrid)CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt...

  • Compliance Officer

    3 weeks ago

    Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Compliance Officer (MFD)Department: Business Conduct ComplianceRegion: TorontoStatus: Permanent Full-time (Hybrid)CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt...

  • Compliance Officer

    3 weeks ago

    Old Toronto, Canada Larson Maddox Full time

    An alternative investment firm is seeking a Compliance Officer to join their Global Regulatory and Compliance team. In this role, you will play a pivotal part in assisting with various regulatory activities both at the organizational level and for investment vehicles. This position will entail overseeing all regulatory and compliance matters for operations...

  • Compliance Officer

    3 weeks ago

    Old Toronto, Canada Larson Maddox Full time

    An alternative investment firm is seeking a Compliance Officer to join their Global Regulatory and Compliance team. In this role, you will play a pivotal part in assisting with various regulatory activities both at the organizational level and for investment vehicles. This position will entail overseeing all regulatory and compliance matters for operations...

  • Compliance Officer

    7 days ago

    Old Toronto, Ontario, Canada Larson Maddox Full time

    An alternative investment firm is seeking a Compliance Officer to join their Global Regulatory and Compliance team. In this role, you will play a pivotal part in assisting with various regulatory activities both at the organizational level and for investment vehicles. This position will entail overseeing all regulatory and compliance matters for operations...

  • Compliance Officer

    3 weeks ago

    Old Toronto, Canada Larson Maddox Full time

    An alternative investment firm is seeking a Compliance Officer to join their Global Regulatory and Compliance team. In this role, you will play a pivotal part in assisting with various regulatory activities both at the organizational level and for investment vehicles. This position will entail overseeing all regulatory and compliance matters for operations...

  • Compliance Officer

    4 weeks ago

    Old Toronto, Canada MTFX Full time

    Transfer funds in 100+ currencies to over 140 countries globallyEstablish and maintain policies and procedures for assessing compliance by the firm, and individuals acting on its behalf, with securities legislation;Monitor and assess compliance by the firm, securities legislation;Report to the ultimate designated person of the firm as soon as possible if the...

  • Compliance Officer

    4 weeks ago

    Old Toronto, Canada MTFX Full time

    Transfer funds in 100+ currencies to over 140 countries globallyEstablish and maintain policies and procedures for assessing compliance by the firm, and individuals acting on its behalf, with securities legislation;Monitor and assess compliance by the firm, securities legislation;Report to the ultimate designated person of the firm as soon as possible if the...

  • Compliance Officer

    4 weeks ago

    Old Toronto, Canada MTFX Full time

    Transfer funds in 100+ currencies to over 140 countries globallyEstablish and maintain policies and procedures for assessing compliance by the firm, and individuals acting on its behalf, with securities legislation;Monitor and assess compliance by the firm, securities legislation;Report to the ultimate designated person of the firm as soon as possible if the...

  • Compliance Officer

    3 weeks ago

    Old Toronto, Canada Enable Full time

    At Enable, we believe rebates are the best way for companies within the supply chain to create, maintain and grow their trading relationships. Rebates allow trading partners to make the best decisions for their businesses, meaning everyone wins: manufacturers, distributors, retailers and, most importantly, end consumers.At Enable, we’recreating a healthy,...

  • Compliance Officer

    3 weeks ago

    Old Toronto, Canada Enable Full time

    At Enable, we believe rebates are the best way for companies within the supply chain to create, maintain and grow their trading relationships. Rebates allow trading partners to make the best decisions for their businesses, meaning everyone wins: manufacturers, distributors, retailers and, most importantly, end consumers.At Enable, we’recreating a healthy,...

  • Compliance Officer

    3 weeks ago

    Old Toronto, Canada Enable Full time

    At Enable, we believe rebates are the best way for companies within the supply chain to create, maintain and grow their trading relationships. Rebates allow trading partners to make the best decisions for their businesses, meaning everyone wins: manufacturers, distributors, retailers and, most importantly, end consumers.At Enable, we’recreating a healthy,...

  • Compliance Officer

    1 week ago

    Old Toronto, Ontario, Canada Enable Full time

    At Enable, we believe rebates are the best way for companies within the supply chain to create, maintain and grow their trading relationships. Rebates allow trading partners to make the best decisions for their businesses, meaning everyone wins: manufacturers, distributors, retailers and, most importantly, end consumers.At Enable, we'recreating a healthy,...

  • Compliance Officer

    3 weeks ago

    Old Toronto, Canada Enable Full time

    At Enable, we believe rebates are the best way for companies within the supply chain to create, maintain and grow their trading relationships. Rebates allow trading partners to make the best decisions for their businesses, meaning everyone wins: manufacturers, distributors, retailers and, most importantly, end consumers.At Enable, we’recreating a healthy,...

  • Compliance Officer

    3 weeks ago

    Old Toronto, Canada Enable Full time

    At Enable, we believe rebates are the best way for companies within the supply chain to create, maintain and grow their trading relationships. Rebates allow trading partners to make the best decisions for their businesses, meaning everyone wins: manufacturers, distributors, retailers and, most importantly, end consumers.At Enable, we’recreating a healthy,...