Chief Compliance Officer

Our client, a boutique investment management firm, is seeking a Chief Compliance Officer who will lead the firm’s compliance program, ensuring the firm meets all of its Canadian and US regulatory requirements. The ideal candidate brings deep regulatory expertise, sound judgment, and the ability to build a culture of integrity and risk awareness.

What You’ll Be Doing:

• Oversee the firm’s compliance program in accordance with Canadian and US regulatory requirements
• Serve as the primary point of contact for regulators, including managing reviews and inquiries
• Ensure timely and accurate regulatory reporting
• Establish and execute an annual compliance monitoring and testing plan
• Monitor adherence to AML/ATF obligations under applicable Canadian regulations and U.S. requirements
• Deliver ongoing compliance training to staff
• Promote a strong culture of compliance, ethics, and regulatory awareness throughout...