Director, Regulatory Compliance Operations
Hybrid · Calgary, Alberta, Canada or Edmonton, Alberta, Canada
Job Summary
Lead day-to-day regulatory compliance operations with a current focus on public markets and trading compliance, translating evolving regulatory requirements into clear operational procedures, controls, and timelines. Implement, test, and monitor controls; configure and enhance regulatory technology and data-driven solutions (including vendor platforms such as FundApps and Bloomberg); collaborate with Technology and internal stakeholders to source data and resolve quality issues; investigate alerts, validate data, and support timely regulatory disclosures. Prepare governance documentation, support internal and regulator audits, oversee vendor performance and change management, and train team members while building cross-functional partnerships to enable effective oversight and remediation. The role is suitable for a Director or Senior Manager with extensive experience in regulatory compliance operations within financial services and a proven ability to translate complex requirements into practical, auditable processes.
Required Qualifications
- Undergraduate degree in business, finance, law, technology, or a related discipline; equivalent experience may be considered
- 8+ years of progressive experience in regulatory compliance operations, investment operations, trading compliance, regulatory reporting, or a related control function
- Experience in complex financial services environments (investment manager, pension plan, bank, broker-dealer, asset manager, or similar)
- Strong understanding of investment products, public markets, trading activity, and securities regulatory requirements
- Ability to translate regulatory requirements into practical operating procedures, controls, documentation, and accountabilities
- Experience designing, implementing, testing, and monitoring controls in a regulated environment
- Hands-on experience with compliance technology, regulatory monitoring tools, market data platforms, portfolio or order management systems, or data analytics tools
- Strong analytical capability and data-driven decision support
- Excellent communication skills and stakeholder-management ability
- Professional designations (e.g., CFA, CPA, JD) or relevant industry coursework considered an asset
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