Senior Compliance Analyst

We're supporting our client, a Toronto-based investment fund manager, in their search for a Compliance Officer who is ready to take full ownership of a compliance program and make it their own.

In this role, you will serve as the firm's primary compliance expert, working directly with the CCO and senior leadership to keep the business on the right side of regulation while supporting its continued growth.

What you will own:

• Day-to-day compliance monitoring across the firm's registered and fund activities
• Regulatory compliance under NI 31-103 and applicable CSA rules; exposure to NI 81-102 or CIRO rules is an asset, not a requirement
• AML/ATF program administration including KYC, transaction monitoring, and FINTRAC reporting obligations
• Review of marketing materials, client communications, and fund disclosure documents
• Compliance policies, procedures, and the annual compliance report
• Support on OSC examinations, regulatory filings, and ad hoc regulatory matters
• Day-to-day guidance to portfolio management, operations, and distribution teams

What you bring

• 4 to 6 years of compliance experience at a Canadian-registered firm; dealer, fund manager, or exempt market background all considered
• Working knowledge of NI 31-103 and the OSC regulatory framework
• Hands-on AML/FINTRAC experience with real reporting obligations, not just theoretical knowledge
• CSC completed; PDO, CCO qualifying exam, or CAMS designation are all meaningful assets
• Comfortable working without heavy supervision and managing competing priorities
• Experience with ETFs, alternative funds, or digital assets is a differentiator but not a barrier to applying