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Compliance Officer

4 months ago

Toronto, Canada Larson Maddox Full time

An alternative investment firm is seeking a Compliance Officer to join their Global Regulatory and Compliance team. In this role, you will play a pivotal part in assisting with various regulatory activities both at the organizational level and for investment vehicles. This position will entail overseeing all regulatory and compliance matters for operations in Canada.


About the firm:

Our client's financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend public and private market strategies for their high-net-worth clients. As of 2024, they service over $150 billion in global client assets.


Responsibilities:

  • Develop a compliance strategy and establish guidelines to support the company's expansion across Canada while ensuring sustainability and adherence to regulations.
  • Collaborate closely with senior management, colleagues, regulators, and external stakeholders to identify potential risks to the firm and its clients, and implement measures to mitigate them.
  • Design and implement appropriate policies, procedures, and internal controls, tailored to the business model, to ensure the firm fulfills its regulatory obligations in Canada.
  • Serve as the primary source of compliance knowledge within the organization and act as a trusted advisor to senior management, providing guidance and training on compliance matters as necessary.


Qualifications:

  • Possess at least 5 years of senior compliance, business controls, operations, and regulatory experience within an investment fund manager, portfolio manager, or exempt market dealer entity regulated by Canadian securities authorities.
  • Demonstrated expertise in compliance within the private fund and investment management sector.
  • Thorough understanding of Canadian securities laws, regulations, and investment fund regulations, along with familiarity with other relevant regulatory frameworks in the investment management industry.
  • Ability to adapt and thrive in a fast-paced, high-growth environment characterized by constant evolution.


This position will operate on a hybrid schedule out of the Toronto office, requiring regular in-person attendance.