AVP, Compliance; Internal Controls

Our client is an independent Canadian investment management firm focused on investment funds and asset management solutions for advisors and institutional clients. The organization operates across investment fund management, portfolio management, and exempt market activities and is known for its entrepreneurial culture, lean team structure, and hands‑on operating environment.

Our client is seeking an Associate Vice President, Compliance to join its growing compliance function. Reporting to the Chief Compliance Officer, the role will play a key part in enhancing and evolving the firm’s compliance control framework, monitoring and testing program, and broader governance structure as the business continues to scale.

This is a highly visible individual contributor role suited to someone who can operate strategically while also being hands‑on in execution. The organization is looking for a sophisticated thinker who can independently assess, build, test, and improve compliance controls and processes in a practical, business-oriented way.

The team is open to candidates from a variety of backgrounds, including:

• Asset management, investment fund, banking, or broader financial services organizations
• Compliance, governance, controls, risk management, or internal audit functions
• Big Four / advisory firms supporting investment management or regulated financial services clients

Key areas of experience and expertise include:

• Compliance control frameworks and governance
• Risk assessments and controls testing
• Monitoring and surveillance programs
• Program maturity, process improvement, and scalable controls
• Canadian securities regulation and regulated financial services environments (OSC; CSA regulated entity experience)
• Stakeholder engagement and senior management reporting

The ideal candidate will be practical, strategic, and highly hands‑on. The organization is specifically seeking someone comfortable working in a lean environment who is willing to execute the work directly rather than manage through large support teams.