The Senior Manager, Compliance reports to the Chief Compliance Officer (CCO) and will primarily be responsible for helping maintain the integrity of Equiton by ensuring compliance with all regulatory requirements, including those set forth by the Securities Commissions and other regulatory bodies, as well as internal policies and procedures. This position will support the maintenance and enhancement of the Corporate Compliance Program that ensures adherence to compliance requirements. The Senior Manager, Compliance works closely with the sales, marketing, information technology leadership and other management to develop appropriate policies, identifies and promotes good business practices, manages the client complaint resolution process and conducts monitoring and testing.Responsibilities
esProvides regulatory compliance advice and influences business/groups on the implementation of new products, solutions and/or servicesConsults on automated systems to assist with incorporating compliance requirementsActs as a subject matter expert on relevant regulations and policiesSupports the execution of strategic initiatives in collaboration with internal and external stakeholdersOversees the implementation, maintenance and monitoring/ reporting of all policies, procedures and compliance programsAssists to identify more effective compliance controls.Administers risk assessments and monitoring and testing activities to ensure compliance controls are operating and aligned to regulatory requirements.Provide periodic reporting, including monthly Compliance reports on any identified regulatory compliance deficiencies or gaps following the performance of self-assessments, control assessments and/or compliance testingAssists the in drafting reports to the Board to evidence the effectiveness of the compliance programEnsure all appropriate registers,



books and records are maintained in positive standing and in accordance with legal and regulatory requirementsSupport the investigation, evaluation, response and resolution of alleged compliance violations.Develop and deliver applicable compliance training and associated materials, including new hire compliance orientation and ongoing employee/management compliance training.Support the day to day compliance function for the Issuers and its registrantsPerform other duties as assignQualifications
ng:An undergraduate degree with 5+ year’s experience working in a compliance role in the financial services industry, preferably with a dealer or portfolio managerFamiliarity with private equity, exempt market dealer and portfolio management businessesCSC or other industry courses a plusAbility to take responsibility and be proactive on new mattersExcellent verbal and written communication, collaboration, presentation and influencing skills with the ability to communicate effectively with all internal and external stakeholders.Ability to review documentation effectively and accuratelyExcellent attention to details and a meticulous eye for identifying inconsistencies and inaccuraciesCompetent user of Microsoft software, in particular Word, PowerPoint, Excel.Able to work effectively with individuals at all levels of the organizationAdvanced understanding of Canadian regulatory environment and requiremenThe expected annualized base salary range for this position is $110,000 - $120,000 plus discretionary bonuses and/or commission. The actual base salary offered will take into consideration factors including, but not limited to, the individual’s skill, experience, and relevant education or trainEqual Opportunity
We’re an equal opportunity employer committed to building a diverse, inclusive, and accessible workplace where everyone feels valued and supported. If you need accommodation during the hiring process, please let us know. We’re happy to help. Only those selected for an interview will be contacted.
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📌 Senior Manager, Compliance (Winnipeg)
🏢 Equiton
📍 Winnipeg