About the Role As the Chief Compliance Officer, you will be instrumental in building and enhancing the compliance function at Equiton, ensuring we continue to meet our regulatory obligations while supporting the firm’s growth and innovation. You will oversee compliance across our investment entities and partner with business leaders to embed a culture of integrity, accountability, and risk awareness.

Key Responsibilities

Provide strategic oversight and leadership of Equiton’s compliance program across all regulated entities, including its exempt market dealer, portfolio manager, and investment fund manager registrations.

Design, implement, and continually enhance a robust compliance framework, including governance policies, procedures, and internal controls that reflect evolving regulatory expectations and business priorities.

Oversee all regulatory filings, offering documentation, exempt distributions, and investor communications, ensuring accuracy and alignment with OSC, CSA, and provincial securities guidelines.

Lead the development and delivery of enterprise-wide compliance training programs, ensuring content is risk-based, role-relevant, and aligned with current regulatory standards.

Act as a key regulatory advisor to the executive team and business providing proactive, solution-oriented guidance on complex regulatory matters and business initiatives.

Approve and oversee all investor-facing materials, including marketing campaigns, social media content, and fund materials, ensuring adherence to securities regulations and internal standards.

Oversee KYC, AML, and suitability compliance for new offerings and transactions.

Conduct and report on risk assessments and drive continuous improvements through testing, monitoring, and reporting frameworks.

Actively monitor and stay ahead of evolving compliance and regulatory trends by reviewing regulator reports, attending industry seminars and groups,



and networking with peers; synthesize findings into actionable insights and regularly report to senior leadership to help protect the firm from emerging risks and regulatory changes.

Lead all registration matters, including strategic reviews of individual and firm-level NRD filings, and ensure ongoing registration compliance across jurisdictions.

Serve as the primary liaison with regulators, manage regulatory exams and inquiries, and lead the preparation of responses, remediation plans, and compliance attestations.

What You Bring

10+ years in a compliance leadership role within financial services; experience with private equity, wealth management or alternative investments is strongly preferred

Background as a securities lawyer or legal experience in a regulatory or compliance capacity is highly desirable

CSC, IFIC, or similar industry courses a robust asset

Proven ability to lead and oversee compliance functions within a fast-paced, regulated financial services environment

Deep knowledge of the Canadian regulatory landscape, and the requirements applicable to exempt market dealers and portfolio managers

Strategic thinking paired with meticulous attention to detail; capable of reviewing complex documentation, identifying gaps, and implementing practical solutions

Exceptional communication, influencing, and presentation skills to effectively engage with senior leadership, regulators, and cross-functional teams

Comfortable operating at both a strategic and tactical level, able to set direction while also executing key deliverables A collaborative approach and the ability to build trust quickly across departments, fostering a culture of compliance





Predictive Index Assessments As part of our hiring process, candidates complete two short assessments from Predictive Index:

A Behavioural Assessment (5-10 minutes, untimed) to understand your work and communication style.

A Cognitive Assessment (12-minute timed) to measure learning and problem-solving abilities.

These are not tests of intelligence or experience, they simply help us understand how you work best.

About Us Founded in 2015, Equiton is one of Canada’s fastest-growing private equity firms, helping Canadians build wealth through high-quality real estate investments. Our mission is to make private real estate accessible to more Canadians, and our team is the driving force behind our success.

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Why Equiton? Our culture is built on integrity, accountability, and innovation. We empower our team to take initiative, think independently, and grow personally and professionally. To learn more about our core values, click here.

Our Commitment to Diversity, Equity & Inclusion 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.

Please note that at present, legal eligibility to work in Canada is a prerequisite for this role.

Artificial Intelligence As part of our recruitment process, we may use artificial intelligence (AI) tools to support activities such as resume screening, interview scheduling, note-taking, and candidate evaluation. AI-assisted tools are used to help improve efficiency and consistency; however, all hiring decisions are made by qualified members of our hiring team. We are committed to ensuring a fair, inclusive, and human-centered recruitment process.

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