Compliance Risk Management Specialist

24 hours ago


London, Ontario, Canada Purpose LP Full time

About Us

Purpose Unlimited is a pioneering financial services company that prioritizes innovation and customer-centricity. Our commitment to technological advancements enables us to deliver cutting-edge solutions, empowering us to tackle historically underserved market segments.

Our subsidiaries, including Advisor Solutions by Purpose, operate as innovative financial technology firms, providing modern client and practice management tools for independent portfolio management and financial advisory businesses in Canada.

We are recognized for our excellence in the industry, having been named the 2023 Wealth Tech Service Provider of the Year by Wealth Professional Magazine and one of Canada's Top Small and Medium Employers.

Job Overview

This role involves working closely with the Chief Compliance Officer (CCO) of a Portfolio Manager/Exempt Market Dealer Registrant, contributing to comprehensive compliance policies, and ensuring alignment with regulatory requirements and organizational objectives.

The ideal candidate will be responsible for drafting policy documents, providing expert guidance, and assisting in maintaining and reviewing the company's policies and procedures.

You will also contribute to building a risk-aware culture by helping create an integrated risk management framework and develop internal control processes.

In addition, you will provide advice on securities regulatory compliance, Anti-Money Laundering (AML), and privacy escalations, and ensure timely completion of reports for Risk Committees and Boards.

Key Responsibilities



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