Chief Compliance Officer

The Chief Compliance Officer is the registered compliance head of the entity. The role carries regulatory obligations under National Instrument 31-103 and is accountable to the board of directors of Van Eck Canada Inc.

The first twelve months are a build. The successful candidate will refine the existing Canadian policy manual, supervisory framework, and interact with existing Canadian compliance-focused vendors. The person in this role will design the compliance program, secure registration, and put operating controls in place before the platform scales. Van Eck global policies are available as a starting point, but they will require adaptation to Canadian requirements rather than direct adoption.

• Designated as Chief Compliance Officer under subsection 11.3(1) of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.
• Holds the personal obligations set out in section 5.2 of NI 31-103: establishing and maintaining policies and procedures for assessing compliance, monitoring and assessing compliance with those policies, reporting instances of material non-compliance to the Ultimate Designated Person as soon as possible, and submitting an annual compliance report to the board of directors.
• Works alongside the Ultimate Designated Person who is also the Chief Executive Officer of Van Eck Canada Inc.
• Holds registration across each additional Canadian jurisdiction as applicable.

• Refine and maintain the compliance policies and procedures manual covering every registration category the firm holds.
• Build the monitoring and supervisory framework, including the annual testing calendar, sampling methodology, and evidence standards.
• Maintain the compliance risk assessment and refresh it as products, distribution channels, and jurisdictions are added.
• Deliver the annual compliance report to the board and interim reporting on material issues.
• Own individual registration and continuing fitness, including National Registration Database filings, notices of change, outside business activity review, and annual attestations.

• Oversee compliance with National Instrument 81-102 Investment Funds, National Instrument 81-106 Investment Fund Continuous Disclosure, National Instrument 41-101 General Prospectus Requirements, and the ETF Facts regime.
• Support the Independent Review Committee and manage the conflict of interest matters referred to it.
• Review new product proposals for regulatory feasibility, including any exemptive relief required, before commitments are made to the market.
• Oversee investment restriction monitoring, including derivatives use, concentration limits, illiquid assets, securities lending, and related party dealings.
• Coordinate listing and continued listing obligations with the exchange in collaboration with Product team

• Implement and monitor the Client Focused Reforms requirements applicable to the firm, including identification, disclosure, and control of material conflicts of interest.
• Advise on Total Cost Reporting obligations
• Own the complaint handling, referral arrangement, and books and records frameworks.

• Review and approve sales communications against Part 15 of National Instrument 81-102 and National Instrument 81-105 Mutual Fund Sales Practices.
• Establish the marketing review workflow and the record of approvals, coordinated with the Van Eck global review process rather than duplicating it.
• Oversee compliance with Canada Anti-Spam Legislation for electronic marketing and event invitations.

• Establish the outsourcing oversight framework covering the fund administrator, custodian, transfer agent, index provider, and technology vendors.
• Review service provider agreements for regulatory adequacy and monitor delivery against them.
• Own business continuity, cyber incident response, and records retention for the Canadian entity.

• Serve as the primary contact for the Ontario Securities Commission and other Canadian securities regulators.
• Manage compliance reviews, examinations, deficiency responses, and information requests.
• Track regulatory developments and translate them into specific changes to the program rather than circulating summaries.

• Support the IRC, and board of directors of Van Eck Canada Inc., including…