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VanEck

Chief Compliance Officer

Toronto, ON, Canada

Job type: Full-time
Apply by: Oct 25, 2026
Posting language: English
Posted: Sep 25, 2026

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Applications open in a new tab.

Original job description

The Chief Compliance Officer is the registered compliance head of the entity. The role carries regulatory obligations under National Instrument 31-103 and is accountable to the board of directors of VanEck Canada Inc.

The first twelve months are a build. The successful candidate will refine the existing Canadian policy manual, supervisory framework, and interact with existing Canadian compliance-focused vendors. The person in this role will design the compliance program, secure registration, and put operating controls in place before the platform scales. VanEck global policies are available as a starting point, but they will require adaptation to Canadian requirements rather than direct adoption.

Regulatory Designation and Accountability

Designated as Chief Compliance Officer under subsection 11.3(1) of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.
Holds the personal obligations set out in section 5.2 of NI 31-103: establishing and maintaining policies and procedures for assessing compliance, monitoring and assessing compliance with those policies, reporting instances of material non-compliance to the Ultimate Designated Person as soon as possible, and submitting an annual compliance report to the board of directors.
Works alongside the Ultimate Designated Person who is also the Chief Executive Officer of VanEck Canada Inc.
Holds registration across each additional Canadian jurisdiction as applicable.

Core Responsibilities

Compliance program and supervision

Refine and maintain the compliance policies and procedures manual covering every registration category the firm holds.
Build the monitoring and supervisory framework, including the annual testing calendar, sampling methodology, and evidence standards.
Maintain the compliance risk assessment and refresh it as products, distribution channels, and jurisdictions are added.
Deliver the annual compliance report to the board and interim reporting on material issues.
Own individual registration and continuing fitness, including National Registration Database filings, notices of change, outside business activity review, and annual attestations.

Fund and product regulation

Oversee compliance with National Instrument 81-102 Investment Funds, National Instrument 81-106 Investment Fund Continuous Disclosure, National Instrument 41-101 General Prospectus Requirements, and the ETF Facts regime.
Support the Independent Review Committee and manage the conflict of interest matters referred to it.
Review new product proposals for regulatory feasibility, including any exemptive relief required, before commitments are made to the market.
Oversee investment restriction monitoring, including derivatives use, concentration limits, illiquid assets, securities lending, and related party dealings.
Coordinate listing and continued listing obligations with the exchange in collaboration with Product team

Registrant obligations and client conduct

Implement and monitor the Client Focused Reforms requirements applicable to the firm, including identification, disclosure, and control of material conflicts of interest.
Advise on Total Cost Reporting obligations
Own the complaint handling, referral arrangement, and books and records frameworks.

Marketing and sales communications

Review and approve sales communications against Part 15 of National Instrument 81-102 and National Instrument 81-105 Mutual Fund Sales Practices.
Establish the marketing review workflow and the record of approvals, coordinated with the VanEck global review process rather than duplicating it.
Oversee compliance with Canada Anti-Spam Legislation for electronic marketing and event invitations.

Vendor oversight and operations

Establish the outsourcing oversight framework covering the fund administrator, custodian, transfer agent, index provider, and technology vendors.
Review service provider agreements for regulatory adequacy and monitor delivery against them.
Own business continuity, cyber incident response, and records retention for the Canadian entity.

Regulatory relationships

Serve as the primary contact for the Ontario Securities Commission and other Canadian securities regulators.
Manage compliance reviews, examinations, deficiency responses, and information requests.
Track regulatory developments and translate them into specific changes to the program rather than circulating summaries.

Governance and legal coordination

Support the IRC, and board of directors of VanEck Canada Inc., including meeting materials, minutes, and corporate records.
Instruct and manage outside Canadian counsel on securities, corporate, and commercial matters, and control the scope and cost of that work.
Review distribution, sub-advisory, index licensing, custody, and administration agreements.

Experience And Background

Minimum of five years in Canadian investment management compliance, including time in an intermediate or senior compliance role at an investment fund manager, portfolio manager, or exchange traded fund issuer.
Direct experience with prospectus qualified funds, covering prospectus filing and renewal, continuous disclosure, and exchange listing.
Prior registration as a Chief Compliance Officer in Canada is strongly preferred.
Experience building a compliance program at a new or small platform is valued above administration of an established program at a large one.
Experience with digital asset or crypto asset funds is an advantage given the VanEck product set.
Working knowledge of how a Canadian subsidiary operates under a United States parent, including group policy adoption, cross border information sharing, and shared service arrangements.
A law degree or an accounting designation is useful but not required.

Attributes

Comfortable being the only compliance person in the building and making decisions without a committee, but with the support of external consultants.
Willing to raise an objection early in the product process rather than late.
Able to write a policy that a small team will follow rather than one that reads well and is ignored.
Practical about the difference between what the rule requires and what a large firm does out of habit.
Credible with regulators, the board, and the investment team at the same time.
Comfortable operating in a firm where the compliance function is being defined rather than inherited.

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More about this job

Responsibilities

Design and maintain the Canadian compliance program, including policies, supervision, registration, fund and product regulation, client conduct, marketing review, vendor oversight, and operational controls. Serve as the primary regulatory contact and support the board and Independent Review Committee through reporting, governance, and coordination with external counsel.

Requirements

Requires at least five years of Canadian investment management compliance experience, including direct experience with prospectus-qualified funds, prospectus filings and renewals, continuous disclosure, and exchange listings. Prior Canadian Chief Compliance Officer registration is strongly preferred; experience building a compliance program at a new or small platform is valued, while digital asset fund experience and a law degree or accounting designation are advantages rather than requirements.

Skills

Canadian Securities Compliance
Compliance Program Design
Regulatory Registration
Compliance Monitoring
Investment Fund Regulation
Prospectus Filing
Continuous Disclosure
Exchange Listing Compliance
Conflict Of Interest Management
Client Focused Reforms
Marketing Communications Review
Vendor Oversight
Regulatory Examinations
Board Reporting
Policy Development
Risk Assessment

Visa sponsorship

Not detected in the job text

Keywords

National Instrument 31-103
National Instrument 81-102
National Instrument 81-106
National Instrument 41-101
National Instrument 81-105
Chief Compliance Officer
Ultimate Designated Person
Investment Fund Manager
Portfolio Manager
Exchange-Traded Funds
ETF Facts
Client Focused Reforms
Total Cost Reporting
Independent Review Committee
Ontario Securities Commission
Canadian Securities Regulators
Compliance Policies And Procedures
Supervisory Framework
Compliance Risk Assessment
Prospectus Filing And Renewal
Continuous Disclosure
Investment Restrictions
Derivatives
Securities Lending
Canada Anti-Spam Legislation
Outsourcing Oversight
Business Continuity
Cyber Incident Response
Digital Asset Funds

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