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Added 3 mins ago
MD
State Program Administrator Manager - Data Practices Officer
Minnesota Direct Care and Treatment
Saint-Paul, NB · St.-Paul, NB
- Full-time
Job Class: State Program Administrator, Manager
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MD
State Program Administrator Manager - Member Services & Counseling Manager
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Saint-Paul, NB · St.-Paul, NB
- Full-time
Working Title: Member Services & Counseling Manager
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SJ
Associate Manager, Brand Revenue Growth Management
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Toronto, ON
- $78,300 to $102,800 CAD / year
- Full-time
Senior Analyst, Brand Revenue Growth Management (RGM) / Associate Manager, Brand Revenue Growth Management (RGM)
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D
Business Development Manager | Toronto
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Toronto, ON
- Full-time
…Our iCast suite of products powers major organizations across financial services, governments, professional associations and enterprise sectors. With strong growth in Toronto, the opening…
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Reporting to the Supply Chain Logistics Manager, the Stores Clerk assists in the organization, coordination and control and delivery of inventories and supplies in support of health care…
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restaurant manager
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- Full-time
Determine type of services to be offered and implement operational procedures
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Accounting/Reporting Assistant
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Montreal, QC
- Full-time
The Accounting/Reporting Assistant reports to the Accounting/Reporting Manager and provides support in all areas of financial management including accounts payable, audits, accounts…
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Medical Administration Contract Manager
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Senior Business Analyst
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Manager, Assurance
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Added 49 mins ago
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Accounting/Reporting Assistant
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Calgary, AB · GCS
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- Full-time
…depending on team availability. This position reports to the Branch Manager. On a day-to-day basis, you’ll work with a team of experts specializing in investment, mortgage financing, and…
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Banking Advisor
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…depending on team availability. This position reports to the Branch Manager. On a day-to-day basis, you’ll work with a team of experts specializing in investment, mortgage financing, and…
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Sr. Manager, BU Finance
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The Sr Finance Manager is a business-finance partner supporting BU Finance leaders with planning, forecasting, close, and decision support. The role owns analytics and management reporting,…
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Objectway

Chief Compliance Officer

Toronto, ON, Canada

Full-time

Apply About employer

Applications open in a new tab.

Job details

Job type: Full-time
Apply by: Nov 7, 2026
Posting language: English
Posted: Oct 8, 2026

Original job description

Who We Are:

Nest Wealth Asset Management is a regulated Portfolio Manager and Canada’s first robo -adviser established in 2014 . Our business is focused on personalization, cost-effectiveness and professional oversight while offering an investment service that is built for those who prefer a hands-off approach: a digital solution developed with a well-structured investment plan that supports our client needs with the creation of an appropriate portfolio of low-cost Exchange Traded Funds (ETFs).

In January 2024, Nest Wealth became part of the Objectway Group, combining the strengths of two global fintech leaders to provide innovative solutions spanning the entire wealth and asset management value chain.

The Objectway Group is a future-proof technology player with a well-established track record in the financial services industry with over €120 million of consolidated revenue. The Group is a global Top 100 fintech provider (IDC ranking), whose clients include 250+ leading wealth managers, banks, asset managers, fund managers, insurers and outsourcers in more than 15 countries. With over 800 professionals operating from 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.

The Opportunity

The successful candidate will be accountable for establishing, maintaining, and overseeing the firm's compliance system in 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).

The CCO serves 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.

How you’ll make an impact:

Regulatory Compliance
Serve as the firm's registered Chief Compliance Officer under NI 31-103
Establish and maintain policies and procedures that support compliance with securities legislation
Monitor the effectiveness of the firm's compliance system and recommend enhancements where appropriate
Ensure the firm maintains an effective supervisory framework
Advise senior management regarding regulatory obligations and emerging regulatory developments
Maintain ongoing awareness of changes to Canadian securities laws, CSA guidance, and self-regulatory organization requirements, where applicable
Compliance Oversight
Assess whether the firm's policies and procedures remain adequate and effective
Conduct ongoing compliance monitoring and testing
Identify compliance deficiencies and oversee remediation activities
Maintain records supporting the firm's compliance program
Escalate material compliance issues to the UDP, executive management, and the Board, as appropriate
Regulatory Reporting
Coordinate regulatory filings and required reporting obligations
Support securities commission compliance reviews and regulatory examinations
Act as the primary compliance contact for securities regulators
Prepare compliance reports for senior management and the Board of Directors
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
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
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
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
Governance
Partner with the Ultimate Designated Person (UDP) in overseeing the firm's compliance framework
Present compliance updates to executive leadership and the Board
Support governance committees as required
Provide independent compliance advice regarding new products, strategic initiatives, and business changes

What You’ll Bring to the Team:

Qualified for approval as Chief Compliance Officer (CCO) under NI 31-103
Significant compliance experience within the Canadian securities industry
Strong knowledge of:

National Instrument 31-103

Provincial securities legislation

CSA Staff Notices and guidance

Client Focused Reforms

Compliance systems and supervisory frameworks
Experience interacting with Canadian securities regulators.
Strong understanding of governance, enterprise risk management, and internal controls.
Excellent leadership, communication, and stakeholder management skills.
High degree of integrity, professionalism, and sound judgment.

It would be GREAT if you had:

Experience working in a high-growth start-up or scale-up environment
Experience using Microsoft Office 365, SharePoint and Salesforce

$180,000 - $200,000 a year

The expected base salary range for this position is $180,000–$200,000 CAD annually .
The successful candidate’s starting salary will be determined within this range based on relevant skills, experience and qualifications, the scope and complexity of the role, and internal compensation considerations.

What you can expect with our interview process:

30 min “get to know you” interview with our talent team
45 min “leadership interview” with decision makers
45 mins CCO interview

Why work for us:

Comprehensive Compensation & Benefits: A competitive total compensation package that includes variable bonus, health and dental benefits, 3 weeks' vacation, 10 days PTO
Learning & Development: $1000 L&D stipend to put towards professional development, Lunch & Learn opportunities, continual companywide workshops
Support for Growing Families: We welcome new additions with a parental leave top-up program
A Connected team: Our social committee knows how to bring the fun! Team bonding game nights, workouts, wellness workshops, cooking classes, and more

We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses and identifying potential inconsistencies or verification signals in application materials based on available information. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.

Apply About employer

More about this job

Responsibilities

Lead and oversee the firm's compliance system under NI 31-103 and applicable Canadian securities laws, including monitoring, testing, risk assessments, regulatory reporting, and remediation. Partner with the UDP, executives, and the Board to advise on compliance matters, strengthen governance and ethical conduct, and support responsible business growth.

Requirements

Candidates must qualify for approval as a Chief Compliance Officer under NI 31-103 and have significant compliance experience in the Canadian securities industry. They should have strong knowledge of securities regulation, CSA guidance, compliance systems, governance, risk management, and internal controls, along with excellent leadership and communication skills.

Skills

Regulatory Compliance
Compliance Monitoring
Compliance Risk Assessment
Regulatory Reporting
Supervisory Frameworks
Know Your Client
Know Your Product
Suitability
Conflicts Of Interest Management
Anti-Money Laundering Compliance
Governance
Enterprise Risk Management
Internal Controls
Leadership
Stakeholder Management

Benefits

Variable Bonus
Health Benefits
Dental Benefits
Three Weeks' Vacation
Ten Days Paid Time Off
Professional Development Stipend
Parental Leave Top-Up Program
Team-Building Activities
Wellness Workshops

Visa sponsorship

Not detected in the job text

Keywords

National Instrument 31-103
Canadian Securities Administrators
CSA Staff Notices
Client Focused Reforms
Securities Regulation
Compliance System
Compliance Policies And Procedures
Compliance Monitoring And Testing
Regulatory Filings
Regulatory Examinations
Ultimate Designated Person
Know Your Client
Know Your Product
Suitability Obligations
Conflicts Of Interest
Complaint Handling
Client Disclosure
Recordkeeping
Personal Trading Policies
Outsourcing Oversight
Anti-Money Laundering
PCMLTFA
Client Identification
Sanctions Screening
Suspicious Transaction Reporting
Enterprise Risk Management
Internal Controls
Microsoft Office 365
SharePoint

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