Compliance Manager

Calgary, AB /
Harvest Builders – OneVest /
Full-time
OneVest is an exciting new FinTech company in the wealth management space. The industry is still dominated by large incumbents, who overcharge and underdeliver. We believe every Canadian should have access to sophisticated wealth services at a reasonable price. We're looking for passionate go-getters to be part of this exciting endeavour, and are driven to build a brand new startup in Calgary. 

The ambitious founding team of this venture have previously served as founders, leaders and early employees at several pioneering startups, technology firms and banking leaders such as SkipTheDishes, Shopify, OnDeck, IHS Markit, TD Securities, BMO Capital Markets, Element AI, Kudos and Ritual. 

We are looking for a full-time Compliance Manager to join our small team to help us build the foundations of the company. You will be responsible for all day-to-day compliance-related activities related to the Portfolio Manager (PM), Investment Fund Manager (IFM), and Exempt Market Dealer (EMD). By participating in the employee stock ownership plan, you’re also invested in the success of its future.

Here, you’ll get to disrupt the wealth management industry by helping build a wealth management start-up from the ground up.

What you'll be doing:

    • Daily, hands-on oversight and management of BAU reporting and Compliance activities
    • Ensure compliance monitoring, testing, and reporting are consistent with regulatory requirements
    • Assist the business in navigating the compliance framework when creating new products and business opportunities
    • Keeping abreast with regulatory changes, reports and staff notices issued by regulators and updating policies, procedures and monitoring controls accordingly
    • Assisting in the preparation and review of management, board and IRC reporting materials as well as any regulatory reporting, as required
    • Produce, update and maintain compliance policies and procedures
    • Conduct self-assessments on compliance controls to ensure they are functioning effectively
    • Review all marketing and sales communications materials to ensure adherence to market conduct and regulatory requirements
    • Responsible for ongoing updates, maintenance, version management and dissemination of retail marketing disclaimers, including researching and drafting new disclosures as required
    • Other duties and special projects as assigned

Who we're looking for:

    • A minimum of 5 years in regulatory compliance or governance, risk and controls in the wealth and investment fund industry
    • Bachelor degree or higher in commerce, finance, economics, engineering or a related field 
    • Certified Anti-Money Laundering Specialist (CAMS) designation or willingness to obtain within 6 months of hire
    • Strong interpersonal, written and verbal communication skills required 
    • Full proficiency in English is required 
    • Strong knowledge and understanding of Canadian Securities Laws, regulations and guidance (i.e. NI 81-102, NI 81-105, NI 45-106, OSC Guidance, FINTRAC, AML/ATF, PCMLTFA, PIPEDA, PIPA, PBSA, etc.)
    • Experience dealing with relevant industry regulators and SROs (i.e. IIROC, ASC, BCSC, OSC etc.)
    • Expert understanding and practical experience with the regulatory environments for sales practices, marketing and disclosure requirements in Canada
    • Advanced Excel skills and general comfort with technology
    • Strong analytical skills and exceptional attention to detail
    • Ability to take ownership and lead projects with a proactive, not reactive, approach; and able to independently drive initiatives to conclusions
    • Ability to perform well in a high pressure, time-sensitive environment
    • Experience in a boutique/ scale-up wealth management firm considered an asset 
    • CSC/CIM/CFA or any other relevant industry courses/designations considered an asset
    • Functional proficiency (high level understanding) in a second language is considered an asset 

What will help you succeed:

    • Entrepreneurial mindset, with self-starter capabilities, experience leading projects 
    • Curious and independent thinker, comfortable working in a fast-paced, collaborative, unstructured growth environment 
    • Obsessed with providing superior client relationship management and advice
    • Previous experience at a dynamic FinTech
    • Team players who love being part of and leading an agile ecosystem
    • Project owners who can engage with stakeholders
    • Makers with a drive to finish, impress users, and delight customers
Please apply using Chrome, as applications are only supported using Chrome on desktop. 

OneVest is an equal opportunity employer. We appreciate your interest in working with us; however, only those applicants selected for interviews will be contacted. Successful candidates for this position may be required to undergo a security screening, including a criminal records check and a credit check. 
 
We are excited to meet with and hire the top talent out there; when you apply, our team may reach out to you about other possible opportunities you may be a fit for.