Compliance Officer, Finance & Banking

Is a Canadian investment firm that provides institutional investors with co-investments across private equity and real assets

The candidate will work closely with Operations Director and internal teams including investment, finance, and client-facing functions.

The Compliance Officer will be responsible for the following:

• Support day to day compliance responsibilities and annual compliance work plan deliverables including: regulatory reporting and filings, co-investor onboarding, marketing reviews, ongoing monitoring and testing regulatory compliance framework
• Work collaboratively to identify and implement new compliance solutions, and enhance existing compliance solutions, across all teams to enhance compliance operations and efficiency
• Proactively support the maintenance of policies and procedures to ensure the ongoing strength of our compliance program
• Act as a key resource in compliance team: stay educated, up to date, and informed of changing regulatory priorities and regulations across multiple regulatory bodies
• Serve as a key contact for compliance questions and issues for the team and co-investors
• Proactively escalate issues to senior team members to prevent regulatory, client, or internal compliance violations
• Support the onboarding of new hires into our compliance program

• A solid knowledge and understanding of, or strong interest in learning, Canadian Exempt Market Dealer (EMD) regulations and U.S. Registered Investment Adviser (RIA) requirements
• Direct experience working with a Canadian and/or US registered firm (OSC, CIRO, SEC, FINRA, etc.) is preferred
• 2+ years of related work experience in compliance, regulatory affairs, law, finance or a related field
• A bachelor’s degree in business, law, or finance is preferred