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Regulatory Compliance Specialist

1 week ago

Toronto, Ontario, Canada iCapital Full time

iCapital is a pioneer in the alternative investment industry, providing innovative financial technology solutions to the global marketplace. Our commitment to excellence has earned us recognition as one of the top fintech companies in the world.

We are currently seeking a talented Regulatory Compliance Specialist to join our Global Regulatory and Compliance team in Canada. The ideal candidate will have experience in the investment management industry and a strong understanding of Canadian regulatory compliance requirements for investment fund managers.

The successful candidate will assist with a variety of regulatory activities both at the firm level and for investment vehicles. They will provide support for all regulatory and compliance matters for iCapital's business in Canada, working closely with the business teams to ensure that our Canadian office is operating within the letter and spirit of the regulations.

Key Responsibilities:
  • Regulatory Filings: Assist with the preparation and filing of regulatory reports, including 45-106F1s, capital market participation fee filings, and other filings.
  • Compliance Calendar: Manage the Canada Compliance Calendar, ensuring that all due dates and responsible individuals or parties are held accountable.
  • Audit Support: Support regulatory audits, inquiries, and inspections by securities regulators, as required.

Requirements:

  • Experience: 3+ years of experience in senior compliance, business controls, operations, and regulatory experience with an investment fund manager, portfolio manager, and exempt market dealer entity regulated by the Canadian securities authorities.
  • Expertise: Compliance expertise in the private fund and investment management space, including knowledge of relevant regulatory filings.
  • Skills: Excellent analytical skills, attention to detail, and ability to interpret regulatory requirements; adaptable and entrepreneurial, able to work within the fast-paced, growing, and constantly evolving structure of a high-growth company.