Nest Wealth Asset Management is a regulated Portfolio Manager and Canada's first robo-adviser established in 2014. Our business is focused on personalization, cost-effectiveness and professional oversight while offering an investment service that is built for those who prefer a hands-off approach: a digital solution developed with a well-structured investment plan that supports our client needs with the creation of an appropriate portfolio of low-cost Exchange Traded Funds (ETFs).
In January 2024, Nest Wealth became part of the Objectway Group, combining the strengths of two global fintech leaders to provide innovative solutions spanning the entire wealth and asset management value chain.
The Group is a global Top 100 fintech provider (IDC ranking), whose clients include 250+ leading wealth managers, banks, asset managers, fund managers, insurers and outsourcers in more than 15 countries. With over 800 professionals operating from Italy, UK, Belgium, Germany, Switzerland and Canada, the Group serves clients in 4 continents, supporting approximately 100,000 investment professionals to manage more than €1 trillion in assets.
The successful candidate will be accountable for establishing, maintaining, and overseeing the firm's compliance system in accordance with National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations, applicable provincial securities legislation, and guidance issued by the Canadian Securities Administrators (CSA).
The CCO serves as the firm's designated compliance officer and works closely with the Ultimate Designated Person (UDP), executive leadership, and business teams to promote a strong culture of compliance, ethical conduct, and investor protection.
This role provides independent oversight of the firm's regulatory compliance framework while supporting responsible business growth and operational excellence.
Regulatory Compliance
Serve as the firm's registered Chief Compliance Officer under NI 31-103
Establish and maintain policies and procedures that support compliance with securities legislation
Monitor the effectiveness of the firm's compliance system and recommend enhancements where appropriate
Advise senior management regarding regulatory obligations and emerging regulatory developments
Maintain ongoing awareness of changes to Canadian securities laws, CSA guidance, and self-regulatory organization requirements, where applicable
Compliance Oversight
Assess whether the firm's policies and procedures remain adequate and effective
Conduct ongoing compliance monitoring and testing
Identify compliance deficiencies and oversee remediation activities
Maintain records supporting the firm's compliance program
Escalate material compliance issues to the UDP, executive management, and the Board, as appropriate
Regulatory Reporting
Coordinate regulatory filings and required reporting obligations
Support securities commission compliance reviews and regulatory examinations
Act as the primary compliance contact for securities regulators
Prepare compliance reports for senior management and the Board of Directors
Risk Management
Perform periodic compliance risk assessments
Identify emerging regulatory and operational risks
Develop action plans to address identified compliance gaps
Monitor implementation of corrective actions
Lead Key Compliance Functions
Complaint handling
Personal trading policies
Outsourcing oversight
AML & Financial Crime
Work closely with the firm's Anti-Money Laundering Compliance Officer (or fulfill both roles where appropriate)
Support compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA)
Oversee compliance processes relating to client identification, ongoing monitoring, sanctions screening, and suspicious transaction reporting
Training & Culture
Develop and deliver compliance training
Provide regulatory guidance to employees and leadership
Ensure employees understand their regulatory responsibilities
Partner with the Ultimate Designated Person (UDP) in overseeing the firm's compliance framework
Present compliance updates to executive leadership and the Board
Provide independent compliance advice regarding new products, strategic initiatives, and business changes
Qualified for approval as Chief Compliance Officer (CCO) under NI 31-103
Significant compliance experience within the Canadian securities industry
National Instrument 31-103
Compliance systems and supervisory frameworks
Strong understanding of governance, enterprise risk management, and internal controls.
Experience using Microsoft Office 365, SharePoint and Salesforce
The expected base salary range for this position is $180,000–$200,000 CAD annually.
45 mins CCO interview
A competitive total compensation package that includes variable bonus, health and dental benefits, 3 weeks' vacation, 10 days PTO
Learning & Development: $1000 L&D stipend to put towards professional development, Lunch & Learn opportunities, continual companywide workshops
Support for Growing Families: We welcome new additions with a parental leave top-up program
Our social committee knows how to bring the fun! Team bonding game nights, workouts, wellness workshops, cooking classes, and more
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Director, Compliance Risk Management (Training) in Toronto employer: Objectway
At Objectway, we pride ourselves on being an exceptional employer that fosters a dynamic and inclusive work culture. As a DevOps Engineer, you'll have the opportunity to grow into specialized roles while working with cutting-edge technologies like Kubernetes and AWS in a collaborative environment. With comprehensive benefits, a strong focus on professional development, and a vibrant team atmosphere, you will not only contribute to our innovative solutions but also see the tangible impact of your work in the wealth management industry.
