- Ensure compliance by identifying and managing regulatory risks in areas including but not limited to: Know-Your-Client (KYC) and Know-Your-Product (KYP) requirements, referral agent reviews, client complaints, compliance with KYC/IPS, client reporting (statements, performance reports, etc.), disclosure documents, identification and mitigation of conflicts of interest, trading procedures, reviewing marketing material and sales initiatives, oversight of outsourced activities/key vendors, administrative oversight over insurance coverage and; other internal control matters as assigned
- Act as a source of knowledge of the company and for regulatory compliance requirements
- Investigate and assess the impact of relevant legislative/regulatory requirements and suggest and implement necessary changes to policies and training content
- Commitment: Embody our 4CE (Force) values You are: Conscientious, Comfortable with Ambiguity, Competitive, Curious, and Expeditious.
Why this role could be a good fit for you:
- You are CIM and/or CFA designation
- You are registered as a Chief Compliance Officer and have completed the qualifying examination and/or Partners, Directors, and Officers course (PDO) through the Canadian Securities Institute
- You have completed the Canadian Securities Course (CSC)
- You have completed the Conduct and Practice Handbook Course (CPH)
- You consider yourself to be an SME with in-depth knowledge of the Canadian Securities industry, including National Instrument and other associated regulations
- You have experience with referral agreement supervision in the context of OSC rules
- You are familiar with portfolio construction and Know-Your-Product (KYP) tools/processes
- 8+ years of financial industry experience
- 5+ years of related experience, preferably in a senior compliance role
Why is this role unique: - Be the architect of our compliance journey, weaving a strong ethical fabric throughout our organization
- Collaborate closely with teams across the organization, including technology, product development, investment management, customer success, and sales to ensure that compliance isn't just a box to tick, but a guiding principle in everything we do
- Opportunity to Act as the Chief Anti-Money Laundering Officer (CAMLO) responsible for the Anti-Money Laundering Program
How can you grow: - Continual internal mobility opportunities as we scale
- Learning and development stipend to put towards professional development
- Dedicated Udemy D.E.A.L Days (Drop Everything And Learn)
- Company-wide lunch & learns across the organization to learn more about fintech
No candidate will meet every single desired qualification. If your experience looks a little different from what we've identified above and you think you can bring value to the role, we'd love to learn more about you
In addition to joining a phenomenal team, we offer support for you, professionally and personally:
Flexibility: An engaging remote-first culture in Canada coast-to-coast. Our employees have the latitude to take care of the other parts of their lives and be there for the things that matter to them
Comprehensive Compensation & Benefits: A competitive total compensation package that includes a variable bonus, health and dental benefits, four weeks of vacation, and ten days of PTO.
Learning & Development: Udemy Business license, $1000 L&D stipend to put towards professional development, Lunch & Learn opportunities, continual company-wide workshops
Support for Growing Families: We welcome new additions with a generous parental leave top-up
A Connected team: Our social committee knows how to bring the fun Team bonding game nights, workouts, wellness workshops, cooking classes, and more.
What you can expect with our interview process:
We understand interviewing can be a daunting experience, and we are here to support you every step of the way. Here is a step-by-step guide on what interviewing with us looks like:- 30-minute "get to know you" interview with our Talent Team
- 60 min "Meet the Hiring Manager" interview with our CEO
- 60 min "Meet the Team" interview with peers and other people within the company
Our ideal time-to-hire is 28 days, we try our best to provide an efficient, engaging, and enjoyable interview experience. All interviews are over video via Google Meet.
We believe in everyone
At Nest Wealth, we commit to pursuing deliberate efforts to ensure that our company is a place where differences are welcomed, different perspectives are respectfully heard, and every individual feels a sense of belonging and inclusion. We know that by creating a vibrant climate of inclusiveness, we can more effectively advance our collective capabilities. We celebrate diversity, are committed to creating an inclusive environment for all employees, and encourage applications from people of all abilities. Accommodations are available on request for candidates participating in all aspects of the selection process.
Nest Wealth focuses on SaaS, Financial Services, Investment Management, Finance Technology, and Wealth Management. Their company has offices in Toronto. They have a mid-size team that's between employees.
You can view their website at or find them on Twitter.
- 30-minute "get to know you" interview with our Talent Team
Chief Compliance Officer - Toronto, Canada - Nest Wealth
Description
We're building our Nest
Where you'll be: Working remotely, anywhere in Canada (in EST)
Your Role: Chief Compliance Officer
Reporting to: Randy Cass, CEO
Who We Are:
Founded in 2014, Nest Wealth created Canada's first SaaS-based digital wealth management platform to ensure investors have access to sophisticated, personalized, and transparent wealth management services. Nest Wealth is Canada's largest independent digital wealth management platform, offering both direct-to-investor and advanced business-to-business solutions.
Finding amazing people is one of the hardest parts of building a successful company. That's why we take our culture and our people seriously. We are a proud recipient of 'Great Place to Work' for the past 3 years, 'Best Workplaces for Inclusion', 'Best Workplaces in Technology', and 'Best Workplaces in Canada', and we've recently been recognized as part of the top 10 scaling startups in Canada by CIX.
Before you apply, get an inside look into our culture and learn from team members who discuss what we're building, recent problems we've solved, how/why we've changed our tech stack, and what it's like joining our team
The Opportunity:
Nest Wealth is looking for a Chief Compliance Officer to join our team The CCO shall work closely with the Chief Executive Officer and other members of the senior leadership team to ensure the company complies with Nest Wealth's policies and procedures, securities legislation, and other applicable laws and regulations. The CCO will also lead, develop, and administer all aspects of the portfolio management supervision programs.
How you will make an impact: