Our Client: An independent Global Investment firm.
Role:
The Head of Compliance will oversee regulatory compliance for its Individual Client Group. The role partners closely with business leaders to ensure adherence to Canadian and U.S. securities regulations and internal policies while fostering a culture of integrity and accountability.
Key Responsibilities
- Lead compliance supervision and monitoring for the Individual Client business segment.
- Develop, implement, and enhance compliance programs, policies, and procedures.
- Provide proactive regulatory advice, training, and guidance to business teams.
- Oversee marketing reviews, client onboarding, and trade supervision.
- Manage regulatory filings, exams, and internal reporting.
- Contribute to AML, privacy, and risk management initiatives.
- Lead and mentor a small compliance team.
Qualifications
- 8–10 years of progressive compliance experience within a portfolio manager, investment manager, or exempt market dealer environment.
- Strong knowledge of Canadian securities regulations, AML, and privacy frameworks.
- University degree in finance, accounting, economics, or related discipline; CFA designation or progress toward it an asset.
- Experience with order management and compliance systems (e.g., SimCorp Dimension, Charles River).
- Demonstrated leadership, critical thinking, and analytical skills.
The Ideal Candidate
A strategic yet hands-on compliance leader who thrives in a collaborative, high-performance environment. They bring deep regulatory expertise, strong business acumen, and the ability to translate complex rules into practical solutions that support growth and innovation.
REF# LI1396
