Compliance Officer

About Roots Funding

Roots Funding Inc. is an Exempt Market Dealer registered with the Ontario Securities Commission and the operator of PMX (Private Market Exchange), a global private capital marketplace connecting accredited and eligible investors with vetted private market opportunities. With entities and operations spanning Canada, the US, the UK, the UAE, the EU, and Hong Kong, we are building institutional-grade infrastructure for private capital, with compliance at the core of everything we do.

The Role

We are looking for a detail-oriented a Junior Compliance Officer to join our compliance team and support the Chief Compliance Officer in maintaining a robust, scalable compliance program. This is a hands-on role with direct exposure to securities regulation,

AML/KYC/KYB and cross-border private market activity.

You don't need to know everything on day one: we will provide structured training and ongoing support so you can build your expertise with confidence. It's an ideal opportunity for an early-career professional who wants to grow quickly in a fast-moving, multi-jurisdictional environment.

What You'll Do

. Conduct KYC, KYP, and suitability reviews for investors and issuers onboarded to the PMX platform

. Support AML/ATF program operations, including client screening, sanctions and PEP checks, transaction monitoring, and FINTRAC reporting

. Review offering documents, subscription agreements, and investor files for completeness and regulatory accuracy

. Prepare and track regulatory filings, including reports of exempt distribution (Form 45-106F1) and related filings across Canadian jurisdictions

. Review marketing materials, website content, and investor communications for compliance with NI 31-103 and applicable securities laws

. Assist with conflicts of interest management, relationship disclosure, and Client Focused Reforms obligations

. Maintain compliance records, logs, and registers (complaints, gifts and entertainment, personal trading, outside activities)

. Support internal compliance testing, policy updates, and preparation for regulatory examinations and audits

. Help coordinate compliance workstreams across our international entities as the platform grows

 What You Bring

. Completion of the Canadian Securities Course (CSC) (required)

. Chief Compliance Officer (CCO) to be completed in 3 months

. 0 to 2 years of experience in compliance, operations, or onboarding at a dealer, advisor, bank, or fintech (internships and co-ops count)

. Working knowledge of NI 31-103, NI 45-106 prospectus exemptions, and Canadian AML/ATF requirements

. Strong attention to detail and a methodical approach to documentation

. Clear written communication and comfort engaging with investors, issuers, and internal teams

. Proficiency with Microsoft 365; comfort learning compliance and CRM tools

. A degree in finance, business, law, economics, or a related field

Nice to Have

. Exempt Market Products (EMP) exam, Conduct and Practices Handbook (CPH), or progress toward the CCO Qualifying Exam

. AML credentials such as CAMS or ACAMS coursework

. Exposure to private markets, exempt market distributions, or crowdfunding platforms

. Familiarity with US (SEC/FINRA), UK (FCA), ADGM, or Hong Kong regulatory frameworks

Why Join Us

. Structured onboarding and hands-on training in exempt market compliance, AML/ATF, and regulatory filings

. Direct mentorship from a CCO who built the firm's regulatory framework from the ground up

. Support toward further designations such as the CPH, EMP, or CCO Qualifying Exam

. Real exposure to multi-jurisdictional licensing and cross-border private capital

. Hybrid work arrangement based out of our downtown Toronto office in the financial district

. [Compensation range / benefits / vacation]

How to Apply

Apply through LinkedIn or send your resume and a brief note on why compliance interests you to [email]. We thank all applicants; only those selected for an interview will be contacted.

Roots Funding is an equal opportunity employer and welcomes applications from all qualified candidates. Accommodations are available on request throughout the hiring process.

Junior Compliance Officer | Careers | Roots Funding

Open items before posting

. Add a compensation range (confirm Ontario pay transparency requirements for public postings with counsel)

. Confirm benefits and vacation details

. Add the application contact email

. Decide whether to soften "Working knowledge of NI 31-103..." to "Familiarity with..." given the training commitment

. Confirm hybrid expectations (in-office days per week)