The Senior Compliance Manager will support the ongoing development and execution of compliance programs, ensuring regulatory obligations are effectively managed while enabling business growth.

• Manage and coordinate compliance monitoring and assessments related to Canadian securities regulations, investment fund requirements, and internal policies.
• Conduct compliance testing activities to identify regulatory risks, control gaps, and opportunities for improvement.
• Prepare compliance reporting, recommendations, and strategic updates for senior leadership, governance committees, and key stakeholders.
• Track regulatory developments and industry changes, evaluate business impacts, and recommend updates to policies, procedures, and controls.
• Maintain and enhance compliance frameworks, including policies, procedures, monitoring programs, and reporting processes.
• Support portfolio management and trading compliance activities, including investment restrictions, conflicts of interest, and trade surveillance monitoring.
• Review and assess marketing materials, investor communications, and public-facing content to ensure regulatory compliance.
• Support anti-money laundering (AML), anti-terrorist financing (ATF), sanctions screening, KYC, and financial crime compliance programs.
• Coordinate regulatory examinations, audits, inspections, and information requests while maintaining strong documentation practices.
• Provide practical compliance guidance to business teams by translating regulatory requirements into actionable solutions.
• Support compliance reviews for new products, investment vehicles, cross-border offerings, and strategic initiatives.
• Build strong relationships with regulators, external counsel, auditors, service providers, and internal stakeholders.
• Lead or contribute to special compliance projects and strategic initiatives as required.

Requirements:

The ideal candidate is a senior compliance professional with strong financial services expertise, regulatory knowledge, and experience managing complex compliance programs in regulated environments.

• 6 to 8 years of compliance experience within an investment fund manager, asset manager, wealth manager, dealer, digital asset firm, or another regulated financial institution.
• Advanced knowledge of Canadian securities regulations, including requirements applicable to investment fund managers, portfolio managers, exempt market dealers, ETFs, and continuous disclosure obligations.
• Experience developing, implementing, and maintaining enterprise-wide compliance programs, policies, controls, monitoring frameworks, testing processes, and regulatory reporting.
• Strong understanding of global regulatory obligations applicable to investment management, digital assets, and financial services organizations.
• Experience supporting businesses operating across multiple jurisdictions, legal entities, and regulatory frameworks.
• Familiarity with AML, ATF, sanctions compliance, KYC, and broader financial crime prevention programs.
• Experience managing regulatory registrations, licensing requirements, examinations, audits, inspections, and regulator interactions.
• Knowledge of portfolio management, trading activities, investment restrictions, conflicts of interest, and trade surveillance requirements.
• Experience reviewing marketing, sales, distribution, and client-facing materials for regulatory compliance.
• Ability to analyze evolving regulations and translate complex requirements into practical business recommendations.
• Strong project management skills with the ability to independently manage multiple compliance initiatives and deadlines.
• Excellent communication skills with the ability to present complex regulatory topics clearly to technical and non-technical stakeholders.
• Strong attention to detail, sound judgment, and the ability to work collaboratively across legal, finance, investment, operations, and business teams.
• Experience with digital assets, cryptocurrency, blockchain, tokenized assets, or alternative investment products is considered an asset.
• Experience working with international regulatory environments such as Canada, Switzerland, Cayman Islands, the United Kingdom, or the United Arab Emirates is preferred.

Benefits:

• Competitive compensation package, including discretionary bonus opportunities.
• Remote-first work environment with flexible arrangements focused on results and accountability.
• Unlimited vacation days to support work-life balance.
• Opportunity to work at the forefront of an innovative and rapidly evolving industry.
• Collaborative, low-ego culture focused on teamwork, ownership, and execution.
• Annual company offsites to connect, collaborate, and build relationships.
• Birthday day off to celebrate personal milestones.
• Supportive parental leave policy designed to prioritize family and well-being.
• Inclusive workplace committed to welcoming diverse perspectives and backgrounds.

We use an AI-powered matching process to ensure your application is reviewed quickly, objectively, and fairly against the role's core requirements. Our system identifies the top-fitting candidates, and this shortlist is then shared directly with the hiring company. The final decision and next steps (interviews, assessments) are managed by their internal team.

We appreciate your interest and wish you the best!

Why Apply Through Jobgether?

Data Privacy Notice: By submitting your application, you acknowledge that Jobgether will process your personal data to evaluate your candidacy and share relevant information with the hiring employer. This processing is based on legitimate interest and pre-contractual measures under applicable data protection laws (including GDPR). You may exercise your rights (access, rectification, erasure, objection) at any time.

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