At a Glance
- Tasks: Lead compliance for Canadian securities and ensure investor protection at Nest Wealth.
- Company: Join Nest Wealth Asset Management, a leader in innovative financial solutions.
- Benefits: Attractive salary of $180,000–$200,000 CAD and opportunities for professional growth.
- Other info: Collaborative environment with strong governance and risk management focus.
- Why this job: Make a real impact on investor protection and ethical conduct in the finance industry.
- Qualifications: Must have significant compliance experience and knowledge of Canadian securities regulations.
The predicted salary is between 180000 - 200000 $ per year.
Lead Canadian securities compliance at Nest Wealth Asset Management, overseeing NI 31-103 obligations, regulatory monitoring, and independent governance. As the registered Chief Compliance Officer, you will establish and maintain the firm’s compliance system. You will work with the Ultimate Designated Person, executive leadership, and business teams. Your oversight will support investor protection, ethical conduct, reporting, risk management, and operational excellence.
Key Responsibilities:
- Maintain policies supporting Canadian securities legislation compliance
- Monitor testing, deficiencies, remediation, and supervisory effectiveness
- Coordinate regulatory filings, examinations, and compliance reports
- Assess regulatory and operational risks periodically
- Present compliance updates to leadership and the Board
Requirements:
- Qualification for approval as CCO under NI 31-103
- Significant Canadian securities industry compliance experience
- Knowledge of provincial legislation and CSA guidance
- Experience interacting with Canadian securities regulators
- Strong governance, risk management, and internal controls understanding
- Bring regulatory judgment, compliance leadership, and securities expertise to Nest Wealth’s investor protection framework and governance activities.
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