Managing Director

Chief Compliance Officer – Exempt Market Real Estate Investing

A rapidly growing real estate investment platform is seeking a Chief Compliance Officer (CCO) to lead its compliance strategy and execution as it expands into the commercial real estate space via the Canadian exempt market. This is a pivotal role within the Executive Leadership Team, providing strategic input across the business and ensuring adherence to all applicable regulatory frameworks.

The CCO will serve as a subject matter expert, establishing the standards for regulatory compliance, risk management, and ethical conduct. This is a highly collaborative role that interfaces across legal, product, engineering, operations, and community teams.

Key Responsibilities
Compliance & Regulatory Oversight

• Design, implement, and manage a robust compliance program aligned with securities laws, anti-money laundering (AML) standards, and regulatory best practices in Canada.
• Maintain proactive relationships with regulatory authorities and industry bodies, staying ahead of changes and ensuring full regulatory alignment.
• Act as the main point of contact for audits, regulatory examinations, and inquiries, ensuring accurate and timely responses.
• Perform regular compliance risk assessments, policy reviews, and operational audits to detect and mitigate risk areas.
• Develop and continuously update internal compliance policies and procedures specific to exempt market investing and ensure appropriate system functionality supports these processes.

Key Operational Compliance Functions

• Oversee new member onboarding and know-your-client (KYC) protocols, ensuring investment suitability and policy alignment.
• Conduct daily trade reviews for anomalies, errors, and mandate compliance.
• Lead compliance training and education across the organization.
• Monitor all marketing and promotional materials for compliance with relevant regulations.
• Ensure full member disclosure practices in accordance with NI
• Manage and respond to member complaints within appropriate timelines.
• Maintain the firm's policies and procedures manual as a living document—regularly revised, not just annually.

Platform Readiness & Issuance Reviews

• Final authority on determining whether investment offerings meet all compliance criteria before being made available on the platform.
• Review property ledgers and final checklists to approve launch readiness.

Technology & Automation

• Partner with product and engineering teams to automate compliance processes and drive scalable, efficient systems.
• Work with legal teams to ensure software tools meet issuer and regulatory filing requirements.

Community & Industry Engagement

• Engage with the investment platform's user community, answering compliance-related questions and maintaining a strong industry presence.
• Represent the company at conferences, regulatory forums, and networking events to advocate for compliance excellence.

Required Qualifications
Education & Certifications

• Degree in Law, Finance, Business, or a related field. Advanced degrees such as JD, MBA, or LLM are highly preferred.
• Required: Canadian Compliance Course (CCC) with a passing exam score.
• Preferred: Certifications such as CCEP, CAMS, CFE, or CISA.
• Relevant financial services courses such as CSC, IFC, CPH.
• Completion of the Chief Compliance Officers Qualifying Examination (CCO) is required.

Expertise & Skills

• Deep knowledge of Canadian securities laws, especially those applicable to exempt market dealers (e.g., NI
• Proven track record in building and leading compliance frameworks in a regulated industry.
• High ethical standards and sound professional judgment.
• Ability to translate complex regulatory requirements into actionable business processes.
• Excellent communication and leadership skills, with a collaborative approach.

What We're Looking For

• Strategic Compliance Leadership: A proactive leader with a vision for building resilient compliance programs.
• Regulatory Mastery: Up-to-date expertise in securities regulations and compliance best practices.
• Problem Solver: Strong analytical skills and the ability to design practical compliance solutions.
• Team-Oriented: Works well with cross-functional stakeholders and external partners.
• Growth Mindset: Commitment to continuous improvement and innovation in compliance.
• Community-Focused: Comfortable engaging with stakeholders, clients, and the public as a compliance expert.

Compensation & Benefits

• Salary Range: CAD $180,000 – $300,000 per year
  
  Pay is commensurate with experience, qualifications, and industry benchmarks.
• Investment matching program
• Comprehensive health benefits
• 25 flexible work-from-home days annually
• Regular team and company-wide events
• Office located in the heart of Vancouver (Kitsilano)

Job Category: Compliance Officer

Job Type: Full Time

Job Location: Metro Vancouver

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