Original job description
Our ClientOur 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.
The OpportunityOur 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.
Ideal Candidate ProfileThe team is open to candidates from a variety of backgrounds, including:Asset management, investment fund, banking, or broader financial services organizationsCompliance, governance, controls, risk management, or internal audit functionsBig Four / advisory firms supporting investment management or regulated financial services clients
Key areas of experience and expertise include:Compliance control frameworks and governanceRisk assessments and controls testingMonitoring and surveillance programsProgram maturity, process improvement, and scalable controlsCanadian 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.
LI REF# 1681
More about this job
Responsibilities
Enhance and evolve the firm’s compliance control framework, monitoring and testing program, and broader governance structure. Independently assess, build, test, and improve compliance controls and processes while supporting the firm’s growth.
Requirements
Candidates should bring experience in compliance, governance, controls, risk management, or internal audit, ideally in asset management, investment funds, banking, financial services, or advisory work. They should understand Canadian securities regulation and be able to engage stakeholders, report to senior management, and execute hands-on in a lean environment.
Skills
- Compliance Control Frameworks
- Governance
- Risk Assessments
- Controls Testing
- Monitoring Programs
- Surveillance Programs
- Process Improvement
- Scalable Controls
- Canadian Securities Regulation
- Stakeholder Engagement
- Senior Management Reporting
- Internal Controls
- Compliance
- Risk Management
- Internal Audit
Visa sponsorship
Not detected in the job text
Categories
- Finance & Accounting
- Legal
- Management & Leadership
Keywords
- Asset Management
- Investment Funds
- Portfolio Management
- Exempt Market Activities
- Compliance
- Compliance Control Framework
- Internal Controls
- Governance
- Risk Assessment
- Controls Testing
- Monitoring Program
- Surveillance
- Process Improvement
- Scalable Controls
- Canadian Securities Regulation
- Ontario Securities Commission
- Canadian Securities Administrators
- Stakeholder Engagement
- Senior Management Reporting
- Financial Services
- Investment Management
- Internal Audit
- Risk Management
