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 current 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,

📌 Chief Compliance Officer Burlington
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📍 Burlington