Position: Senior Compliance Officer

About the Role

Our client is looking for a Senior Compliance Officer to join their collaborative team and help them maintain the highest standards of regulatory compliance. Reporting directly to the Chief Compliance Officer (CCO), you’ll play a key role in overseeing daily compliance operations, monitoring regulatory changes, and supporting audits — all while helping shape the evolution of our compliance program.

This is a great opportunity for an experienced compliance professional who thrives in a dynamic environment and wants to make a real impact across the firm.

What You’ll Do

• Approve client risk ratings (EDD), new account openings, and KYC updates
• Review and approve post-trade and bookkeeping reports
• Correct trade errors and oversee daily compliance processes
• Prepare quarterly due diligence audits and regulatory reports
• Monitor regulatory developments (CSA, CIRO, FINTRAC, IRS) and recommend policy updates
• Support internal and external audits, as well as compliance training initiatives
• Once CIRO-approved, review and approve social media and external communications

What We’re Looking For

• 5+ years of compliance experience in a CIRO-regulated firm
• Portfolio Manager designation (in good standing), or CIM® designation + 2 years of investment management experience, or Supervisor for Managed Accounts category with CIRO
• Completion of the Investment Dealer Supervisor Course (within 4 months of hire)
• Strong knowledge of CIRO, CSA, and FINTRAC requirements
• Proven experience with CIRO/OSC audits
• Advanced Microsoft Office skills (Excel, Word, SharePoint)
• French is an asset

Ideal Candidate Profile

• Highly organized, analytical, and detail-oriented
• Strong communicator with high ethical standards
• Collaborative team player who enjoys variety in their work
• Proactive, adaptable, and thrives in a dynamic, entrepreneurial environment

Why Join?
At our client, you’ll be part of a growing, collaborative firm where your work has a direct impact. You’ll gain exposure to a wide range of compliance functions, have the opportunity to shape processes, and work closely with leadership in a supportive environment.

Director, Compliance and Operational Risk, Team Lead

Our client is a leading portfolio management firm, responsible for managing over $100

billion in assets under management.

The Compliance team works in collaboration with portfolio managers and management to

ensure that activities comply

As a Team Lead, in addition to acting as a subject matter leader, your role will be to:

• Plan resources, recruitment, development, and performance reviews of team members;
• Manage, develop, engage, and motivate the team to help them achieve objectives;
• Prioritize initiatives and allocate the right resources to projects;
• Ensure continuity of portfolio monitoring activities and compliance with regulations and investment policies;
• Contribute to the codification and maintenance of investment constraints in our system;
• Coordinate and support programming of complementary technology tools for monitoring complex investment strategies and constraints;
• Define and track the team’s KPIs;
• Identify and implement corrective measures and improvements to strengthen the monitoring program;
• Oversee implementation and ensure effectiveness of the operational risk management program, including risk and control assessments;
• Oversee implementation and effectiveness of the personal information protection program;
• Ensure business continuity plan updates and proper functioning;
• Provide interpretations to business lines on legislative changes;
• Stay current with industry best practices in monitoring;
• Create and maintain processes, controls, frameworks, and compliance policies related to portfolio monitoring;
• Coordinate compliance projects with business lines (portfolio management, trading, and systems);
• Develop and implement solutions to enhance operational process efficiency;
• Build and maintain strong business relationships to foster collaboration.

Requirements:

• Bachelor’s degree in finance, accounting, economics, law, or other related field;
• Minimum of 10 years of relevant experience;
• CSI courses or other financial designations (e.g. CFA) are an asset;
• Knowledge of Bloomberg and compliance modules or similar systems;
• Strong knowledge of financial products and applicable regulations;
• Ability to build and evolve digital compliance solutions;
• Ability to maximize the team’s analytical and data-driven capabilities;
• Excellent written and spoken French and English
• Exceptional attention to detail and analytical skills to ensure accuracy of deliverables;
• Strategic thinking and ability to understand business needs;
• Motivated, autonomous, and proactive in workload management and professional development;
• Strong communication and interpersonal skills, with the ability to interact professionally at all levels;
• Process improvement skills and creativity in finding innovative solutions;
• Team player motivated to help the group meet deadlines;
• Strong organizational skills and ability to prioritize and meet multiple deadlines in a fast-paced environment.

Director, Distribution & Advisor Solutions

Description:

Our client is seeking an exceptional Director, Distribution & Advisor Solutions to help supercharge its advisor segments. They are looking for an entrepreneurial individual with an established network and strong financial markets understanding to join their team. In this role, you will interact with financial advisors from Canada’s largest financial institutions to introduce and explain the firm’s investment solutions alongside the investment team.

Responsibilities:

• Cultivate and manage relationships with financial advisors and to enhance our footprint and generate new business opportunities.
• Work closely with portfolio managers to gain a deep understanding of our investment solutions and technical concepts to communicate these effectively to potential investors.
• Design a scalable, structured and engaging investor journey starting from the first touchpoint to the investor becoming a client.
• Coordinate and lead meetings with potential and existing clients, ensuring they are well-informed and comfortable with our approach and performance.
• Provide consistent feedback to internal teams regarding investor sentiments, market trends, and competitive landscape.
• Develop and distribute clear investment presentations, quarterly updates, and marketing collateral for the advisor segments.
• Act as the primary point of contact for investor inquiries, addressing concerns, and ensuring high levels of client satisfaction.
• Work closely with internal teams, including marketing, operations, and compliance, to ensure our service delivery is seamless and meets the highest standards.

Required Skills and Experience:

• Proven experience in business development or investor relations within the financial services or investment management industry.
• An established network within the financial advisors’ segments.
• Strong understanding of financial markets, investment strategies, and portfolio management.
• Exceptional presentation, communication, and active listening skills.
• Ability to simplify complex investment strategies into digestible and compelling narratives for a diverse audience.
• Expertise in utilizing CRM as an everyday tool, ensuring all business development interactions and prospect communications are accurately logged and optimized for enhanced automation and investor journey.
• Demonstrated ability to work independently and as part of a team in a fast-paced environment.
• Innate curiosity, self-driven, resourcefulness, team-worker, and attention to detail.
• High ethical standards and an unwavering commitment to professional integrity.
• A bachelor's degree in finance, economics, business administration, or related fields; an investment designation or equivalent would be advantageous.
• Fluent in French and English.

Our client offers:

• Competitive compensation is tailed for entrepreneurial mindsets.
• A high-performance, collaborative team environment.
• Opportunities for professional development within a growing organization.
• A dynamic and friendly work environment.
• Medical and dental insurance for employees and dependents, life & disability insurance.
• Offices located in the center of the financial district
• Hybrid work: We all have families and obligations; we facilitate the conciliation of office/remote work.

The culture:

Our client prides itself on cultivating a workplace where:

• Innovation Drives Us: We are relentless in our pursuit of fresh ideas and groundbreaking solutions. We encourage out-of-the-box thinking and celebrate creativity.
• Collaboration is Key: Our teams are built on mutual respect, open dialogue, and collaborative spirits. We believe that by working together, we can achieve greater outcomes.
• Continuous Learning: We are committed to the professional growth and development of our team. Whether it's attending industry conferences, internal training, or informal knowledge-sharing sessions, we strive to stay at the forefront of the tech and finance worlds.
• Agility and Adaptability: In a rapidly changing industry, we prioritize agility. We adapt to challenges and are always ready to pivot our strategies to stay ahead.
• Individual Ownership: While we thrive as a team, we also celebrate individual achievements and give everyone the autonomy to take ownership of their work.
• Diversity and Inclusion: Different perspectives enrich our company. We are dedicated to creating an environment where everyone feels valued, heard, and empowered to contribute.