Compliance Manager

Full-time, Permanent


1 week ago in Accounting and Finance

Job Description:

Our client, an Investment Management firm with a strong culture of compliance and of maintaining exceptionally high standards, is seeking an experienced compliance professional with at least 5 years of experience within the financial services industry. This individual requires an understanding of the rules and regulations governing the Investment Management business in Canada and ideally also has experience with the U.S. Advisers Act. Reporting to the VP Operations. This is a ‘hands-on’ role and the individual will have an active role in day-to-day compliance and operational activities of the office. Responsibilities will be split between routine activities, providing advice, developing training and drafting policies.

This individual is someone interested in continuing to further their knowledge and apply it as they support a small, rapidly growing Portfolio Manager that manages money for high net worth individuals, families and institutions.


  • Stay abreast of regulatory changes and participate in industry committees with the overall goal of ensuring policies and practices at the firm comply with the current and upcoming regulations and best practices
  • Assist in establishing and drafting policies to ensure compliance with requirements and, where applicable, industry best practice. This will be done with an appreciation of the impact on the client experience
    assist in continuing to evolve the firm’s compliance program ensuring that it is a high quality program that identifies and ensures compliance with all relevant rules and regulations
  • Manage a variety of initiatives that will require exploring specific new rules and/or regulations, developing an understanding of impact to the business and assisting in implementation of any required changes
  • Specific accountabilities and tasks may change over time



  • Minimum five years’ compliance experience within financial services
  • Knowledge of regulation and oversight by multiple regulators and government bodies (examples: Ontario Securities Commission, U.S. Securities and Exchange Commission, FINTRAC) and the bbility to apply regulations to situations with an appreciation for the business impact
  • Independent learner who is curious to understand how things work
  • Pays high attention to detail and accuracy
  • Highly ethical and practical thinker
  • Ability to manage ad hoc projects that require research, application to business model and implementation
  • Strong written and verbal communication skills
  • Team player

To apply, upload your resume and complete the required information in the “Apply For The Job” section located to the right of the posting. Alternatively, quote the position title and email your resume to: Beth Title;

If you are already registered with TDS Personnel please contact your Consultant.

TDS Personnel is an equal opportunity employer and is committed to providing employment in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act. Accommodations within reason due to a disability or medical need are available on request for candidates taking part in the recruitment process.

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