Compliance Manager; CCO Track

Building on more than 30 years of business expertise, we are an international wealth,banking and asset management software provider empowering clients to embrace their future challenges while providing great performance today. The Objectway Group  is a future-proof technology player with a well-established track recordin the financial services industry with over €120millionofconsolidatedrevenue. The Group is a global Top 100 fintech provider (IDC ranking), whose clients include 250+ leading wealth managers, banks, asset managers, fund managers,insurer sand outsource rs in more than 15 countries.

With over 800 professionalsoperatingfrom Italy, UK, Belgium, Germany, Switzerland and Canada, the Group serves clients in 4 continents, supporting approximately 100,000 investment professionals to manage more than €1 trillion in assets.

In January 2024, Nest Wealth became part of theObjectway

Group, combining the strengths of two global fintech leaders to provide innovative solutions spanning the entire wealth and asset management value chain.

This position will initiallyoperateat the Compliance Manager level, with the expectation of transitioning to Chief Compliance Officer (CCO) under NI 31-103.

The successful candidate will be accountableforestablishing, maintaining, and overseeing the firm's compliance systemin accordance with National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations, applicable provincial securities legislation, and guidance issued by the Canadian Securities Administrators (CSA).

Hired as Compliance Manager,the expectation is that this role will transition toCCOwithinapproximately6 months of the start date. The CCOserves as the firm's designated compliance officer and works closely with the Ultimate Designated Person (UDP), executive leadership, and business teams to promote a strong culture of compliance, ethical conduct, and investor protection.

This role provides independent oversight of the firm's regulatory compliance framework while supporting responsible business growth and operational excellence.

Regulatory Compliance

• Serve as the firm's registered Chief Compliance Officer under NI 31-103
• Establish andmaintainpolicies and procedures that support compliance with securities legislation
• Monitor the effectiveness of the firm's compliance system and recommend enhancements where appropriate
• Ensure the firmmaintainsan effective supervisory framework
• Advise senior managementregardingregulatory obligations and emerging regulatory developments
• Maintain ongoing awareness of changes to Canadian securities laws, CSA guidance, and self-regulatory organization requirements, where applicable

2. Compliance Oversight

• Assess whether the firm's policies and proceduresremainadequate and effective
• Conduct ongoing compliance monitoring and testing
• Identify compliance deficiencies and oversee remediation activitiesl
• Maintain records supporting the firm's compliance program
• Escalate material compliance issues to the UDP, executive management, and the Board, as appropriate

3. Regulatory Reporting

• Coordinate regulatory filings and required reporting obligations
• Support securities commission compliance reviews and regulatory examinations
• Act as the primarycompliancecontact for securities regulators
• Prepare compliance reports for senior management and the Board of Directors

4. Risk Management

• Perform periodic compliance risk assessments
• Identify emerging regulatory and operational risks
• Develop action plans to address identified compliance gaps
• Monitor implementation of corrective actions

5.Lead Key Compliance Functions

• Know Your Client (KYC)
• Know Your Product (KYP), where applicable
• Suitability obligations
• Conflicts of interest management
• Complaint handling
• Client disclosure requirements
• Recordkeeping requirements
• Marketing and communications review
• Personal trading policies
• Outsourcing oversight

6. AML & Financial Crime

• Work closely with the firm's Anti-Money Laundering Compliance Officer (or fulfill both roles where appropriate)
• Support compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA)
• Oversee compliance processes relating to client identification, ongoing monitoring,sanctions screening, and suspicious transaction reporting

7. Training & Culture

• Develop and deliver compliance training
• Promote a culture of integrity and ethical conduct
• Provide regulatory guidance to employees and leadership
• Ensure employees understand their regulatory responsibilities

8.…