Vestcap Investment Management Inc. is a boutique portfolio management firm committed to delivering tailored investment solutions for high-net-worth individuals, families, and institutions. With a disciplined, research-driven approach to portfolio construction, we aim to build long-term value while maintaining the highest standards of transparency and client service. Vestcap is registered as a Portfolio Manager with the Ontario Securities Commission (OSC) and adheres to the highest standards of regulatory compliance, fiduciary responsibility, and client confidentiality.
We are looking for a Compliance Associate to support our Portfolio Managers and clients with Know Your Client (KYC) requirements, compliance-related activities, and client service needs. This role involves assisting with KYC reviews and updates, supporting compliance reporting processes, responding to client inquiries, and helping ensure regulatory and internal policy requirements are met.
We foster a collaborative, entrepreneurial, and performance-driven culture where initiative, integrity, and teamwork are valued. Our professionals operate in a dynamic environment that encourages continuous learning, mutual respect, and a shared commitment to excellence.
Key Responsibilities
- Assist with the KYC review process and compliance report reconciliations.
- Support Senior Portfolio Managers with KYC reviews, updates, and documentation maintenance.
- Coordinate with clients to obtain and update required KYC information and supporting documentation.
- Maintain accurate client records in compliance with regulatory requirements and internal policies.
- Assist with the preparation, review, and maintenance of compliance documentation and reports.
- Respond to client inquiries and provide ongoing administrative and service support.
- Work closely with internal teams to ensure timely completion of compliance-related initiatives.
- Assist with other compliance, operational, and client service projects as required.
Qualifications and Experience
- College degree and a minimum of five (5) years of relevant experience in the financial services industry.
- Strong analytical and problem-solving skills.
- Ability to understand, interpret, and communicate complex financial and investment-related information.
- Experience supporting KYC, compliance, and regulatory processes.
- Advanced proficiency with Microsoft Office Suite, including Word, Excel, and PowerPoint.
- Experience creating and editing forms using form-editing software.
- Experience working with CRM data management systems and online custodian platforms.
- Familiarity with DocuSign is considered an asset.
- Excellent written and verbal communication skills.
- Exceptional attention to detail and organizational skills.
- Ability to work independently as well as collaboratively within a team environment.
- Self-motivated, confident, and professional, with a strong work ethic and commitment to excellence.
Success in This Role
The ideal candidate is highly organized, detail-oriented, and committed to maintaining the highest standards of regulatory compliance and client service. They will demonstrate strong initiative, sound judgment, and the ability to manage multiple priorities effectively while contributing to a collaborative and professional work environment. Reporting to and receiving training from the CCO, this individual will play an important role in supporting the firm’s compliance framework and enhancing the client experience.
Benefit
- Competitive salary commensurate with experience.
- Collaborative and supportive work environment with a focus on teamwork and excellence.
This is a part-time and temporary position requiring in-office attendance at our Toronto headquarters.
How to Apply: If you are passionate about delivering exceptional services, we invite you to join our team! Please submit your resume. We look forward to hearing from you! Please note that only selected candidates will be contacted.
Equal Opportunity Employer: Vestcap Investment Management Inc. is an equal opportunity employer committed to diversity and inclusion in the workplace.
