Our client is a private equity investor with a global presence spanning North America, Asia, Europe, and the Middle East. They are value-oriented investors in public markets, private equity, venture capitals, and real estate.
What you will achieve in this role:
- Implementing A compliance program for newly created Asset Management Inc. registered with OSC as PM, EMD and IFM in Ontario.
- Perform other business risk assessments such as conflicts of interest, best execution practices, various internal review/approval processes, cybersecurity, business continuity, records retention, and email reviews.
- Develop compliance policies and procedures.
- Provide direction and guidance to internal/external business associates on investment advisory compliance issues, including fiduciary responsibility, advisory regulation, strategic relationships, and permissible activities under firm policy, rules, and regulations.
- Design and implement Compliance Program with the Chief Compliance Officer
- Manage and implement the compliance monitoring program, conduct testing, and issue an annual compliance report.
- Review marketing and sales material to ensure consistency and compliance with applicable laws, regulations, etc.
- Provide real-time advisory compliance support to the investment team.
- Track and make all regulatory submissions and filings.
- Track regulatory changes and developments in Canada, identify the impact on compliance framework, implement appropriate changes.
- Prepare and deliver Compliance training to members of staff.
What you must bring to this role:
- 6+ years of experience in compliance, preferably in a hedge fund, asset management or financial institution.
- Strong experience and working knowledge of Canadian securities law and regulation.
- Strong knowledge of hedge fund products.
- Independent, critical thinker with strong personal and problem-solving skills.
- Nice to have: Knowledge of securities law and regulation in USA and/or Hong Kong is an asset.
Only those who are qualified will be contacted