Compliance Manager (CCO Track)

Résumé du poste

The Compliance Manager will establish and oversee the firm's regulatory compliance framework, ensuring adherence to NI 31-103 and provincial securities legislation. The role involves transitioning into the Chief Compliance Officer position to lead compliance functions, risk management, and regulatory reporting while promoting an ethical culture.

Détails du poste

Building on more than 30 years of business expertise, we are an international wealth, banking and asset management software provider empowering clients to embrace their future challenges while providing great performance today. The Objectway Group is a future-proof technology player with a well-established track record in the financial services industry with over €120 million of consolidated revenue. The Group is a global Top 100 fintech provider (IDC ranking), whose clients include 250+ leading wealth managers, banks, asset managers, fund managers, insurers and outsourcers in more than 15 countries. With over 800 professionals operating from Italy, UK, Belgium, Germany, Switzerland and Canada, the Group serves clients in 4 continents, supporting approximately 100,000 investment professionals to manage more than €1 trillion in assets. In January 2024, Nest Wealth became part of the Objectway Group, combining the strengths of two global fintech leaders to provide innovative solutions spanning the entire wealth and asset management value chain. \n The opportunity This position will initially operate at the Compliance Manager level, with the expectation of transitioning to Chief Compliance Officer (CCO) under NI 31-103. The successful candidate will be accountable for establishing, maintaining, and overseeing the firm's compliance system in accordance with National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations, applicable provincial securities legislation, and guidance issued by the Canadian Securities Administrators (CSA). Hired as Compliance Manager, the expectation is that this role will transition to CCO within approximately 6 months of the start date. The CCO serves as the firm's designated compliance officer and works closely with the Ultimate Designated Person (UDP), executive leadership, and business teams to promote a strong culture of compliance, ethical conduct, and investor protection. This role provides independent oversight of the firm's regulatory compliance framework while supporting responsible business growth and operational excellence. How you'll make an impact Regulatory Compliance Serve as the firm's registered Chief Compliance Officer under NI 31-103 Establish and maintain policies and procedures that support compliance with securities legislation Monitor the effectiveness of the firm's compliance system and recommend enhancements where appropriate Ensure the firm maintains an effective supervisory framework Advise senior management regarding regulatory obligations and emerging regulatory developments Maintain ongoing awareness of changes to Canadian securities laws, CSA guidance, and self-regulatory organization requirements, where applicable 2. Compliance Oversight Assess whether the firm's policies and procedures remain adequate and effective Conduct ongoing compliance monitoring and testing Identify compliance deficiencies and oversee remediation activities Maintain records supporting the firm's compliance program Escalate material compliance issues to the UDP, executive management, and the Board, as appropriate 3. Regulatory Reporting Coordinate regulatory filings and required reporting obligations Support securities commission compliance reviews and regulatory examinations Act as the primary compliance contact for securities regulators Prepare compliance reports for senior management and the Board of Directors 4. Risk Management Perform periodic compliance risk assessments Identify emerging regulatory and operational risks Develop action plans to address identified compliance gaps Monitor implementation of corrective actions 5. Lead Key Compliance Functions Know Your Client (KYC) Know Your Product (KYP), where applicable Suitability obligations Conflicts of interest management Complaint handling Client disclosure requirements Recordkeeping requirements Marketing and communications review Personal trading policies Outsourcing oversight 6. AML & Financial Crime Work closely with the firm's Anti-Money Laundering Compliance Officer (or fulfill both roles where appropriate) Support compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) Oversee compliance processes relating to client identification, ongoing monitoring, sanctions screening, and suspicious transaction reporting 7. Training & Culture Develop and deliver compliance training Promote a culture of integrity and ethical conduct Provide regulatory guidance to employees and leadership Ensure employees understand their regulatory responsibilities 8. Governance Partner with the Ultimate Designated Person (UDP) in overseeing the firm's compliance framework Present compliance updates to executive leadership and the Board Support governance committees as required Provide independent compliance advice regarding new products, strategic initiatives, and business changes What you'll bring to the team Qualified for approval as Chief Compliance Officer (CCO) under NI 31-103 Significant compliance experience within the Canadian securities industry Strong knowledge of: National Instrument 31-103, provincial securities legislation, CSA Staff Notices and guidance, Client Focused Reforms, compliance systems and supervisory frameworks Experience interacting with Canadian securities regulators Strong understanding of governance, enterprise risk management, and internal controls Excellent leadership, communication, and stakeholder management skills High degree of integrity, professionalism, and sound judgment It would be GREAT if you had: Experience with Salesforce Familiarity with CRM platforms Experience using SharePoint Experience working in a high-growth startup or scale-up environment What you can expect with our interview process: 30 min “get to know you” interview with our talent team 60 min “meet the hiring manager” interview 45 min “leadership interview” with decision makers Why work for us: Learning and development stipend to put towards professional development Comprehensive Compensation & Benefits: A competitive total compensation package that includes variable bonus, health and dental benefits, 3 weeks' vacation, 10 days PTO Learning & Development: $1000 L&D stipend to put towards professional development, Lunch & Learn opportunities, continual companywide workshops Support for Growing Families: We welcome new additions with a parental leave top-up program A Connected team: Our social committee knows how to bring the fun! Team bonding game nights, workouts, wellness workshops, cooking classes, and more \n $140,000 - $155,000 a year \n Accommodation Statement: Objectway is an equal opportunity employer committed to inclusive, barrier-free selection processes and work environments. We will accommodate any applicant under the Accessibility for Ontarians with Disabilities Act (AODA) and the Ontario Human Rights Code. If you require accommodation during any part of the hiring process, please let us know so that we can work with you to meet your needs. Equality Policy: We are an equal opportunities employer, and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.

Ce que vous ferez

The Compliance Manager will establish and oversee the firm's regulatory compliance framework, ensuring adherence to NI 31-103 and provincial securities legislation. The role involves transitioning into the Chief Compliance Officer position to lead compliance functions, risk management, and regulatory reporting while promoting an ethical culture.

Exigences

Candidates must be qualified for approval as a Chief Compliance Officer under NI 31-103 with significant experience in the Canadian securities industry. Strong knowledge of regulatory frameworks, governance, and internal controls is required, along with excellent leadership and communication skills.

Avantages

• Health benefits • Dental benefits • Variable bonus • 3 weeks vacation • 10 days PTO • Learning and development stipend • Parental leave top-up program • Lunch and learn opportunities • Companywide workshops

Compétences indiquées

• Leadership · Souhaitée
• Communication · Souhaitée

Autres compétences pertinentes

Relevées dans la description du poste. Confirmez les exigences importantes ci-dessus.

• Compliance management
• Regulatory compliance
• NI 31-103
• Securities legislation
• Risk management
• AML compliance
• Governance
• Internal controls
• Stakeholder management
• Leadership
• Communication
• KYC
• KYP
• Regulatory reporting
• Financial crime prevention
• Compliance Management
• Compliance Reporting
• Know Your Customer
• Financial Technology (FinTech)
• Record Keeping
• Professionalism
• Material Compliance
• Compliance Risk
• Enterprise Risk Management (ERM)
• Ethical Standards And Conduct
• Asset Management
• Customer Relationship Management
• Internal Controls
• Management
• Investments
• Customer Service
• Regulatory Compliance
• Compliance Training
• Cooking
• Financial Services
• Financial Regulations
• Investment Management
• Marketing
• Innovation
• Risk Management
• Operational Excellence
• Outsourcing
• Salesforce
• Microsoft SharePoint
• Stakeholder Management
• Securities (Finance)
• Regulatory Filings
• Anti Money Laundering
• Regulatory Developments

Domaines d’emploi

• Finance & Accounting
• Legal
• Management & Leadership
• Software
• Technology
• Compliance Manager
• Legal Professionals Not Elsewhere Classified
• Compliance Managers
• Managers, All Other