Chief Compliance Officer

**_We’re building our Nest_**
- Where you’ll be: Working remotely, anywhere in Canada (in EST)_
- Your Role: Chief Compliance Officer_
- Reporting to: Randy Cass, CEO_

**Who We Are**:
Founded in 2014, Nest Wealth created Canada's first SaaS-based digital wealth management platform to ensure investors have access to sophisticated, personalized, and transparent wealth management services. Nest Wealth is Canada’s largest independent digital wealth management platform, offering both direct-to-investor and advanced business-to-business solutions.

Finding amazing people is one of the hardest parts of building a successful company. That’s why we take our culture and our people seriously. We are a proud recipient of ‘Great Place to Work’ for the past 3 years, ‘Best Workplaces for Inclusion’, ‘Best Workplaces in Technology’, and ‘Best Workplaces in Canada’, and we've recently been recognized as part of the top 10 scaling startups in Canada by CIX.

Before you apply, get an inside look into our culture and learn from team members who discuss what we’re building, recent problems we’ve solved, how/why we’ve changed our tech stack, and what it’s like joining our team

**The Opportunity**:
Nest Wealth is looking for a Chief Compliance Officer to join our team The CCO shall work closely with the Chief Executive Officer and other members of the senior leadership team to ensure the company complies with Nest Wealth’s policies and procedures, securities legislation, and other applicable laws and regulations. The CCO will also lead, develop, and administer all aspects of the portfolio management supervision programs.

**How you will make an impact**:

- Ensure compliance by identifying and managing regulatory risks in areas including but not limited to: Know-Your-Client (KYC) and Know-Your-Product (KYP) requirements, referral agent reviews, client complaints, compliance with KYC/IPS, client reporting (statements, performance reports, etc.), disclosure documents, identification and mitigation of conflicts of interest, trading procedures, reviewing marketing material and sales initiatives, oversight of outsourced activities/key vendors, administrative oversight over insurance coverage and; other internal control matters as assigned
- Act as a source of knowledge of the company and for regulatory compliance requirements
- Investigate and assess the impact of relevant legislative/regulatory requirements and suggest and implement necessary changes to policies and training content
- ** Commitment**: Embody our 4CE (Force) values You are: Conscientious, Comfortable with Ambiguity, Competitive, Curious, and Expeditious.

**Why this role could be a good fit for you**:

- You are CIM and/or CFA designation
- You are registered as a Chief Compliance Officer and have completed the qualifying examination and/or Partners, Directors, and Officers course (PDO) through the Canadian Securities Institute
- You have completed the Canadian Securities Course (CSC)
- You have completed the Conduct and Practice Handbook Course (CPH)
- You consider yourself to be an SME with in-depth knowledge of the Canadian Securities industry, including National Instrument 31-103 and other associated regulations
- You have experience with referral agreement supervision in the context of OSC rules
- You are familiar with portfolio construction and Know-Your-Product (KYP) tools/processes
- 8+ years of financial industry experience
- 5+ years of related experience, preferably in a senior compliance role

**Why is this role unique**:

- Be the architect of our compliance journey, weaving a strong ethical fabric throughout our organization
- Collaborate closely with teams across the organization, including technology, product development, investment management, customer success, and sales to ensure that compliance isn't just a box to tick, but a guiding principle in everything we do
- Opportunity to Act as the Chief Anti-Money Laundering Officer (CAMLO) responsible for the Anti-Money Laundering Program

**How can you grow**:

- Continual internal mobility opportunities as we scale
- Learning and development stipend to put towards professional development
- Dedicated Udemy D.E.A.L Days (Drop Everything And Learn)
- Company-wide lunch & learns across the organization to learn more about fintech

**_ Compensation_**_: Our target hiring range is $125,000 - $135,000 plus participation in our Discretionary Bonus Program with eligibility for up to 10% base salary. Actual compensation will be commensurate with experience and skills as evaluated during the interview process_

**In addition to joining a phenomenal team, we offer support for you, professionally and personally**:
**Flexibility**: An engaging remote-first culture in Canada coast-to-coast. Our employees have the latitude to take care of the other parts of their lives and be there for the things that matter to them

**Comprehensive Compensation & Benefits**: A competitive total