Position Id
Job Type
Full-Time Regular

The Client

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

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