Canadian Securities Compliance Officer
$180k - $200k per yearObjectway
Lead Canadian securities compliance at Nest Wealth Asset Management, overseeing NI 31-103 obligations, regulatory monitoring, and independent governance. The role’s salary range is $180,000–$200,000 CAD annually.As the registered Chief Compliance Officer, you will establish and maintain the firm’s compliance system. You will work with the Ultimate Designated Person, executive leadership, and business teams. Your oversight will support investor protection, ethical conduct, reporting, risk management, and operational excellence.Key Responsibilities:
Maintain policies supporting Canadian securities legislation complianceMonitor testing, deficiencies, remediation, and supervisory effectivenessCoordinate regulatory filings, examinations, and compliance reportsAssess regulatory and operational risks periodicallyPresent compliance updates to leadership and the BoardRequirements:
Qualification for approval as CCO under NI 31-103Significant Canadian securities industry compliance experienceKnowledge of provincial legislation and CSA guidanceExperience interacting with Canadian securities regulatorsStrong governance, risk management, and internal controls understandingBring regulatory judgment, compliance leadership, and securities expertise to Nest Wealth’s investor protection framework and governance activities.
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Maintain policies supporting Canadian securities legislation complianceMonitor testing, deficiencies, remediation, and supervisory effectivenessCoordinate regulatory filings, examinations, and compliance reportsAssess regulatory and operational risks periodicallyPresent compliance updates to leadership and the BoardRequirements:
Qualification for approval as CCO under NI 31-103Significant Canadian securities industry compliance experienceKnowledge of provincial legislation and CSA guidanceExperience interacting with Canadian securities regulatorsStrong governance, risk management, and internal controls understandingBring regulatory judgment, compliance leadership, and securities expertise to Nest Wealth’s investor protection framework and governance activities.
#J-18808-Ljbffr
Vacancy posted 1 hour ago
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