Compliance Officer

Description

The Compliance Officer reports to the Chief Compliance Officer (CCO) and will primarily be responsible for helping maintain the integrity of Equiton by ensuring compliance with, including those set forth by the Securities Commissions and other regulatory bodies, as well as internal policies and procedures. This position will serve as a key member in the compliance team with delegated responsibilities of second-line oversight and assisting in policy and procedure development. The Compliance Officer will also provide regulatory guidance and support to internal business partners and requires strong relationship management skills.

• Support the development of processes, tools and resources to support compliance initiatives that align with corporate goals and objectives.
• Provide support for and review regulatory filings and reviews such as Risk Assessment Questionnaires, other regulatory inquiries and audits
• Review and file exempt distribution reports, offering memorandums, marketing materials, financial statements and other documents with regulators
• Support the implementation and maintenance of the firm’s compliance program, ensuring alignment with relevant legislation and internal policies.
• Assist in firm’s registration processes, including:
• Review investment actions to ensure that all recommendations and transactions are appropriate for the client and meet regulatory requirements.
• Ensure marketing materials are reviewed to ensure compliance with applicable legislation
• Contribute to the development and delivery of compliance training materials for employees across the organization.
• Monitor regulatory developments and make recommendations for updating compliance policies and procedures to reflect changes in legislation and best practices.
• Review and maintain referral arrangements to ensure compliance with the requirements of National Instrument 31-103 (“NI 31-103”)
• Ensure all appropriate registers, books and records are maintained in good standing and in accordance with legal and regulatory requirements
• Process registration forms, annual renewals and related materials with respect to material changes, and terminations.
• Assist with onboarding and offboarding of registered individuals, including NRD filings and proficiency tracking.

Requirements

Please note that at present, legal eligibility to work in Canada is a prerequisite for this role.

These are not tests of intelligence or experience, they simply help us understand how you work best.

• Ability to review documentation effectively and accurately
• Competent user of Microsoft software, in particular Word, PowerPoint, Excel.
• CSC or other industry courses a plus
• Excellent attention to details and a meticulous eye for identifying inconsistencies and inaccuracies
• Able to work effectively with individuals at all levels of the organization
• A Behavioural Assessment (5–10 minutes, untimed) to understand your work and communication style.
• A Cognitive Assessment (12-minute timed) to measure learning and problem-solving abilities.
• Good understanding of Canadian regulatory environment and requirements.
• Familiarity with private equity, exempt market dealer and portfolio management businesses
• Ability to take responsibility and be proactive on new matters
• Excellent verbal and written communication, collaboration, presentation and influencing skills with the ability to communicate effectively with all internal and external stakeholders.
• An undergraduate degree with 3-5 year’s experience working in a compliance role in the financial services industry, preferably with a dealer or portfolio manager

Benefits

We’re an equal opportunity employer committed to building a diverse, inclusive, and accessible workplace where everyone feels valued and supported. If you need accommodation during the hiring process, please let us know. We’re happy to help.

Training + Development

Interview process

Visa Sponsorship

Security clearance