Compliance Manager

3 days ago

Toronto, Canada Purpose Advisor Solutions Full time

Company Description
**Purpose Unlimited** is an independent financial services company with an unrelenting focus on customer-centric innovation, delivered through technology-driven solutions. Led by entrepreneur Som Seif, the company is developing a diversified product platform aimed at addressing historically underserved segments of the market. Purpose Unlimited's businesses include Purpose Investments, Purpose Advisor Solutions, and Driven.

**Who is Purpose Advisor Solutions?**

**Purpose Advisor Solutions **provides Advisors with the technology to break away from the traditional dealer model, allowing entrepreneurial Advisors to launch and operate an independent practice without the historically high barriers to entry. We are a small team of entrepreneurs who want to play an integral part in helping Advisors and portfolio managers achieve independence by making it easier to own, service clients, and grow a business. We believe the future of advice needs smarter technology and fewer barriers to ownership so that everyone can make better financial choices.

**Job Description**:
**Who You Are**

You are an innovative problem solver who also happens to work in compliance Already an accomplished regulatory compliance specialist with strong analytical skills, you are a collaborative, detail-oriented individual, looking for something new and exciting. This is the opportunity you have been waiting for to contribute your strong problem-solving skills to an innovative growing organization.

If you enjoy collaborating with a team, being innovative and are excited about an opportunity to work within a fast-growing company, we would like to speak to you

**What you will do**
- Directly support multiple CCOs in drafting, maintaining, and ongoing review of the several PM registrants’ policies and procedures.
- Lead the development of internal control processes by liaising with business teams to create effective and efficient monitoring and testing programs for their current activities.
- Lead reviews of various business functions against internal policies and procedures.
- Responsible for, and assisting with, key compliance controls, such as:

- Regulatory reporting (monthly reporting to securities commissions, OBAs, registrations, etc.)
- Reviewing and advising on securities-related compliance matters.
- Reviewing and approving marketing and press materials, etc.
- Assist in building a risk-aware and control-conscious culture by contributing to the creation of a consistent integrated risk management framework for the company.
- Assist in the organization of materials for, and completion of reports for Risk Committees and Boards, including semi-annual and quarterly reporting requirements.

**Qualifications**:
**What you will bring**
- University degree
- Experience within the investment fund industry, with at least 3+ years of experience in regulatory compliance.
- Familiarity with the securities regulatory environment, specifically investment fund managers and portfolio managers.
- Completion of compliance registration courses and demonstrating a desire to continually learn is considered a strong asset.
- Completion of the Canadian Securities Course, the Chief Compliance Officer examination, and/or related courses is considered a strong asset.
- Understanding of how to draft policies and procedures, monitoring & testing programs, and effective control techniques.

Additional Information
**Why should you join us?**
- ** We believe in an innovation and vibrant culture** - Work for an innovative, people-first, financial services firm that values entrepreneurialism
- ** We believe in flexibility **- A flexible hybrid work model that empowers you to do your best work whether at home or at the office
- ** We care about your rewards** - Competitive compensation including bonuses & equity programs
- ** We care about your health** - Comprehensive group health, dental benefits, and life insurance at little to no cost to you. We also offer a Lifestyle Spending Account for all your wellness needs
- ** We care about your quality of life **-** **A** **flexible paid-time-off policy with unlimited vacation days, flexible sick and mental health days
- ** We care about your family **- Paid parental leave for eligible employees with top-up
- ** We care about your future** - Generous Group RRSP matching and TFSA program in Purpose funds
- ** We care about your development **- We offer training opportunities and tuition support year-round

In light of the COVID-19 pandemic, we are currently working from home. The safety and wellbeing of our teams is our top priority and office time is currently available on a voluntary basis. Our future of work philosophy will be a hybrid model allowing for flexibility and collaboration.

For safety reasons, Purpose Advisor Solutions has adopted a vaccination policy that allows only fully vaccinated employees to enter our offices.

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