Regulatory & Compliance - Associate
$59,200–$70,300 year
Hybrid · Toronto, Ontario, Canada
Job Summary
Regulatory & Compliance Associate to support iCapital Canada's regulatory program. Responsibilities include developing, implementing, communicating, maintaining, and monitoring compliance policies to ensure adherence to securities regulations (notably NI 31-103, NI 81-103, NI 45-106); fostering a culture of compliance; building relationships with business partners and stakeholders; liaising with internal teams and external parties on compliance matters; preparing and filing regulatory reports (including 45-106F1s and capital market participation filings); managing the Canada Compliance Calendar; supporting regulatory audits, inquiries, and inspections; monitoring regulatory developments and updating internal policies; assisting with employee training and attestations; coordinating board meetings (packages and minutes); maintaining compliance records and filings; contributing to program improvements; supporting the Canada Legal and Compliance team as needed; and working in-office Monday-Thursday with optional remote work on Fridays.
Required Qualifications
- 2-5 years of experience of senior compliance, business controls, operations and regulatory experience with an investment fund manager, portfolio manager and exempt market dealer entity regulated by the Canadian securities authorities
- Bilingual in English and French
- Compliance expertise in the private fund and investment management space
- Experience with regulatory filings is a plus
- Excellent analytical skills, attention to detail, and able to interpret regulatory requirements
- Adaptable and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth company
- Strong written and verbal communication skills
- Able to manage multiple tasks, meet deadlines, and work independently or as part of a team
- Strong computer skills, including MS Suite (i.e. Word, Excel, and PowerPoint, and DocuSign)
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