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 compliance
- Monitor testing, deficiencies, remediation, and supervisory effectiveness
- Coordinate regulatory filings, examinations, and compliance reports
- Assess regulatory and operational risks periodically
- Present compliance updates to leadership and the Board
Requirements:
- Qualification for approval as CCO under NI 31-103
- Significant Canadian securities industry compliance experience
- Knowledge of provincial legislation and CSA guidance
- Experience interacting with Canadian securities regulators
- Strong governance, risk management, and internal controls understanding
Bring regulatory judgment, compliance leadership, and securities expertise to Nest Wealth’s investor protection framework and governance activities.
#J-18808-LjbffrVacancy posted 15 hours ago
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