Senior Compliance Manager

This is a fully remote position, open to applicants in Canada.

📋 Description

• Oversee and coordinate the monitoring and evaluation of adherence to relevant Canadian securities regulations, investment fund rules, and internal policies and procedures.

• Assist in the preparation of reports, strategic compliance updates, and recommendations for the Chief Compliance Officer, Vice President, Legal, Ultimate Designated Person, senior management, and governance committees.

• Conduct regular compliance testing and monitoring activities to identify and mitigate regulatory risks effectively.

• Stay updated on regulatory advancements and industry changes, assess their impact on the business, and suggest necessary revisions to policies, procedures, and controls.

• Manage compliance activities related to portfolio and investment management as directed by the CCO, including policy management and the upkeep of internal policies, procedures, guidelines, and associated controls.

• Identify, investigate, document, and escalate compliance issues while recommending corrective actions when necessary.

• Oversee portfolio management and trading compliance activities, including monitoring investment restrictions, conflicts of interest, and trade surveillance programs.

• Supervise trading activities and investment management practices to ensure compliance with regulatory standards and internal controls.

• Coordinate preparations for and assist with regulatory examinations, audits, inspections, and information requests.

• Serve as a trusted advisor to business teams by providing practical guidance on regulatory requirements, compliance risks, and best practices.

• Review marketing, advertising, investor communications, and public-facing materials to ensure they comply with applicable regulations and internal standards.

• Assist in administering AML, ATF, sanctions screening, KYC, and financial crime compliance programs.

• Support the compliance review and launch of new products, investment vehicles, cross-border offerings, and strategic business initiatives.

• Foster strong working relationships with regulators, external counsel, auditors, fund service providers, and industry participants.

• Lead or assist in special projects and strategic initiatives as assigned by the CCO.

⛳️ Requirements

• 6 to 8 years of compliance experience within an investment fund manager, asset manager, wealth manager, dealer, digital asset/crypto firm, or other regulated financial institutions.

• Advanced knowledge of Canadian securities regulation, including National Instruments relevant to investment fund managers, portfolio managers, exempt market dealers, public investment funds, ETFs, and continuous disclosure obligations.

• Experience supporting organizations that operate across various regulatory jurisdictions and legal entities, including coordinating compliance programs, regulatory filings, and governance requirements across multiple countries and regulatory frameworks.

• Strong understanding of global regulatory obligations related to digital assets, investment management, and financial services businesses, including experience working with foreign regulators, service providers, and legal counsel.

• Experience in developing, implementing, and maintaining enterprise-wide compliance programs, policies, procedures, controls, monitoring, testing, and regulatory reporting frameworks.

• Familiarity with regulatory registration and licensing requirements, regulatory examinations, audits, inspections, and ongoing engagement with regulators.

• Knowledge of anti-money laundering (AML), anti-terrorist financing (ATF), sanctions compliance, know-your-client (KYC), and financial crime compliance programs.

• Experience reviewing and overseeing marketing, sales, distribution, and client-facing materials for adherence to applicable regulatory requirements.

• Comprehensive understanding of portfolio management, trading, investment restrictions, trade surveillance, conflicts of interest management, and investment fund compliance obligations.

• Experience facilitating new product launches, cross-border offerings, and regulatory approval processes, including coordination with internal stakeholders and external service providers.

• Ability to analyze changing regulatory requirements and translate them into practical business solutions while fostering a strong compliance culture.

• Capability to independently manage compliance workstreams, exercise sound judgment, and appropriately escalate issues to the CCO and senior stakeholders.

• Proven experience coordinating cross-functional compliance initiatives with legal, investment, operations, finance, marketing, and external service provider teams.

• Demonstrated ability to collaborate effectively with executive leadership, legal, investments, finance, business development, and external partners in a dynamic and highly regulated environment.

• Exceptional organizational skills, strong attention to detail, and the capability to manage multiple regulatory initiatives and deadlines concurrently.

• Excellent written and verbal communication skills with the ability to interact effectively with all organizational levels and present complex regulatory matters clearly and practically.

🏝️ Benefits

• Competitive compensation package including discretionary bonus

• Unlimited Vacation Days

• Remote-first team with a flexible work environment focused on results

• Opportunity to work at the forefront of an innovative, fast-growing industry

• Collaborative, low-ego culture with a strong execution mindset

• Annual company offsites to connect, collaborate, and recharge

• Birthdays off to celebrate your day your way!

• Supportive parental leave policy designed to prioritize family and well-being