Senior Compliance Manager
New
J
JobgetherFinancial Services
Based in CanadaFull-TimeSenior
SalaryCompetitive compensation package, including discretionary bonus opportunities.
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Job Details
- Experience
- 6 to 8 years
- Required Skills
- Project ManagementCompliance
Requirements
- 6 to 8 years of compliance experience within an investment fund manager, asset manager, wealth manager, or regulated financial institution.
- Advanced knowledge of Canadian securities regulations (IFM, PM, EMD, ETFs).
- Experience developing and maintaining enterprise-wide compliance programs and monitoring frameworks.
- Understanding of global regulatory obligations for investment management and digital assets.
- Experience supporting businesses operating across multiple jurisdictions.
- Familiarity with AML, ATF, sanctions, KYC, and financial crime prevention.
- Experience managing regulatory registrations, audits, and regulator interactions.
- Knowledge of portfolio management, trading activities, and conflict of interest requirements.
- Experience reviewing marketing and client-facing materials for regulatory compliance.
- Strong project management skills with ability to handle multiple initiatives.
- Excellent communication skills for presenting complex topics to diverse stakeholders.
- Experience with digital assets or alternative investment products (asset).
Responsibilities
- Manage and coordinate compliance monitoring and assessments related to Canadian securities regulations and investment fund requirements.
- Conduct compliance testing activities to identify regulatory risks, control gaps, and opportunities for improvement.
- Prepare compliance reporting, recommendations, and strategic updates for senior leadership and governance committees.
- Maintain and enhance compliance frameworks, including policies, procedures, and monitoring programs.
- Support portfolio management, trading compliance, and trade surveillance monitoring.
- Review marketing materials and investor communications for regulatory compliance.
- Support anti-money laundering (AML), anti-terrorist financing (ATF), and KYC programs.
- Coordinate regulatory examinations, audits, and information requests.
- Provide practical compliance guidance by translating regulatory requirements into actionable business solutions.
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