Compliance Officer

Compliance Officer

About the Role

The Compliance Officer reports to the Chief Compliance Officer (CCO) and will primarily be responsible for helping maintain the integrity of Equiton by ensuring compliance with, including those set forth by the Securities Commissions and other regulatory bodies, as well as internal policies and procedures. This position will serve as a key member in the compliance team with delegated responsibilities of second-line oversight and assisting in policy and procedure development. The Compliance Officer will also provide regulatory guidance and support to internal business partners and requires strong relationship management skills.

Key Responsibilities

• Review investment actions to ensure that all recommendations and transactions are appropriate for the client and meet regulatory requirements.
• Support the implementation and maintenance of the firm's compliance program, ensuring alignment with relevant legislation and internal policies.
• Support the development of processes, tools and resources to support compliance initiatives that align with corporate goals and objectives.
• Monitor regulatory developments and make recommendations for updating compliance policies and procedures to reflect changes in legislation and best practices.
• Ensure all appropriate registers, books and records are maintained in good standing and in accordance with legal and regulatory requirements
• Contribute to the development and delivery of compliance training materials for employees across the organization.
• Assist in firm's registration processes, including:
• Assist with onboarding and offboarding of registered individuals, including NRD filings and proficiency tracking.
• Process registration forms, annual renewals and related materials with respect to material changes, and terminations.
• Ensure marketing materials are reviewed to ensure compliance with applicable legislation
• Review and maintain referral arrangements to ensure compliance with the requirements of National Instrument "NI 31-103")
• Provide support for and review regulatory filings and reviews such as Risk Assessment Questionnaires, other regulatory inquiries and audits
• Review and file exempt distribution reports, offering memorandums, marketing materials, financial statements and other documents with regulators
• Perform other duties as assigned

What You Bring:

• An undergraduate degree with 3-5 year's experience working in a compliance role in the financial services industry, preferably with a dealer or portfolio manager
• Familiarity with private equity, exempt market dealer and portfolio management businesses
• CSC or other industry courses a plus
• Ability to take responsibility and be proactive on new matters
• Excellent verbal and written communication, collaboration, presentation and influencing skills with the ability to communicate effectively with all internal and external stakeholders.
• Ability to review documentation effectively and accurately
• Excellent attention to details and a meticulous eye for identifying inconsistencies and inaccuracies
• Competent user of Microsoft software, in particular Word, PowerPoint, Excel.
• Able to work effectively with individuals at all levels of the organization
• Good understanding of Canadian regulatory environment and requirements.

Predictive Index Assessments

As part of our hiring process, candidates complete two short assessments from Predictive Index:

• A
  Behavioural Assessment
  (5–10 minutes, untimed) to understand your work and communication style.
• A
  Cognitive Assessment
  (12-minute timed) to measure learning and problem-solving abilities.

These are not tests of intelligence or experience, they simply help us understand how you work best.

Start the Behavioural Assessment here:

After completing the first assessment, you'll receive an email with instructions for the second assessment.

About Us

Founded in 2015, Equiton is one of Canada's fastest-growing private equity firms, helping Canadians build wealth through high-quality real estate investments. Our mission is to make private real estate accessible to more Canadians, and our team is the driving force behind our success.

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Why Equiton?

Our culture is built on integrity, accountability, and innovation. We empower our team to take initiative, think independently, and grow personally and professionally. To learn more about our core values, click here.

Our Commitment to Diversity, Equity & Inclusion

We're an equal opportunity employer committed to building a diverse, inclusive, and accessible workplace where everyone feels valued and supported. If you need accommodation during the hiring process, please let us know. We're happy to help.

Only those selected for an interview will be contacted.

Please note that at present, legal eligibility to work in Canada is a prerequisite for this role.