Compliance Testing Manager

Manager, Compliance
Employment Type : New, Full-Time Permanent position
Are you a self-starter with an entrepreneurial spirit and want to be part of one of Canada’s fastest-growing exchange traded fund (“ETF”) providers? Do you thrive on wearing multiple hats and being a key contributor to nurturing a culture of compliance within the firm?
Based in Toronto’s financial district and with ~$14 billion in ETF assets under management, we are seeking a motivated individual to join our entrepreneurial team of experienced and talented professionals.
Here’s what you will do as Manager, Compliance:
Working closely with the Chief Compliance Officer and Compliance team, you will play a key role in the day-to-day operation, enforcement, and ongoing enhancement of the firm’s compliance program and provide practical, risk-based guidance across the business. You will review sales communications and marketing materials to ensure compliance, support regulatory filings and examinations, monitor and assess regulatory developments, and help translate regulatory requirements into clear internal policies and procedures. This role requires sound judgment, strong attention to detail, and the ability to partner effectively with sales, marketing, and operations while maintaining a firm and thoughtful compliance perspective.

The Manager, Compliance is expected to lead and/or support the following key responsibilities:

• Support the design, implementation, and ongoing maintenance of the firm’s compliance program in accordance with applicable Canadian securities laws and regulatory guidance
• Monitor regulatory developments (CSA, OSC, etc.) and assist in assessing potential impacts to the firm’s policies, procedures, and practices
• Assist with regulatory examinations
• Provide support to compliance leadership, including coverage as appropriate
• Review sales communications, marketing materials, digital content, and promotional initiatives
• Review and oversee outside business activities (OBAs), gifts & entertainment reporting, and employee personal trading matters
• Conduct internal audits, risk assessments and compliance testing for adherence with policies and internal controls
• Develop and deliver compliance training to staff as needed
• Participate in the review of the management reports of fund performance
• Monitor sales-related expenses and business promotion activity (including sponsorships and events) to ensure compliance with NI 81-105 and internal policies

Bachelor’s degree in business, finance or a related field;

• 5+ years of experience in a compliance environment for an ETF, mutual fund issuer or relevant experience at a Canadian Asset Manager (IFM/PM)
• Working knowledge of securities regulations (including National Instruments 81-102, 81-105, 81-106 and 81-107)
• Knowledgeable and proficient use of computer programs, Excel, PowerPoint, and Word
• Please note we are only accepting applications from those authorized to work in Canada and we are not currently sponsoring any temporary or permanent work visas.

Use of AI in Hiring:  Some stages of our recruitment process may use AI-assisted tools to support recruitment efforts;