Building on more than 30 years of businessexpertise, we are an international wealth,bankingand asset management software provider empowering clients to embrace their future challenges while providinggreat performancetoday. TheObjectwayGroup is a future-proof technology player with a well-establishedtrack recordin the financial services industry with over €120millionofconsolidatedrevenue. The Group is a global Top 100 fintech provider (IDC ranking), whose clients include 250+ leading wealth managers, banks, asset managers, fund managers,insurersand outsourcers in more than 15 countries. With over 800 professionalsoperatingfrom 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.
In January 2024, Nest Wealth became part of theObjectwayGroup, combining the strengths of two global fintech leaders to provide innovative solutions spanning the entire wealth and asset management value chain.
Building on more than 30 years of businessexpertise, we are an international wealth,bankingand asset management software provider empowering clients to embrace their future challenges while providinggreat performancetoday. TheObjectwayGroup is a future-proof technology player with a well-establishedtrack recordin the financial services industry with over €120millionofconsolidatedrevenue. The Group is a global Top 100 fintech provider (IDC ranking), whose clients include 250+ leading wealth managers, banks, asset managers, fund managers,insurersand outsourcers in more than 15 countries. With over 800 professionalsoperatingfrom 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.
In January 2024, Nest Wealth became part of theObjectwayGroup, combining the strengths of two global fintech leaders to provide innovative solutions spanning the entire wealth and asset management value chain.
The opportunity This position will initiallyoperateat the ComplianceManagerlevel, with the expectation of transitioning to Chief Compliance Officer (CCO)under NI 31-103.
The successful candidate will be accountableforestablishing, maintaining, and overseeing the firm's compliance systemin accordance withNational Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations, applicable provincial securities legislation, and guidance issued by the Canadian Securities Administrators (CSA).
Hired as ComplianceManager,theexpectation is that this role willtransition toCCOwithinapproximately6 months of the start date. The CCOserves 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.
How you'll make an impact Regulatory Compliance Serve as the firm's registered Chief Compliance Officer under NI 31-103
Establish andmaintainpolicies and procedures that support compliance with securities legislation
Monitor the effectiveness of the firm's compliance system and recommend enhancements where appropriate
Ensure the firmmaintainsan effective supervisory framework
Advisesenior managementregardingregulatory 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 proceduresremainadequate and effective
Conduct ongoing compliance monitoring and testing
Identifycompliance deficiencies and oversee remediation activities
Maintainrecords supporting the firm's compliance program
Escalate material compliance issues to the UDP, executive management, and the Board, asappropriate
Regulatory Reporting Coordinate regulatory filings and required reporting obligations
Support securities commission compliance reviews and regulatory examinations
Act as the primarycompliancecontact for securities regulators
Prepare compliance reports for senior management and the Board of Directors
Risk Management Perform periodic compliance risk assessments
Identifyemerging regulatory and operational risks
Develop action plans to address identified compliance gaps
Monitor implementation of corrective actions
Lead Key Compliance Functions Know Your Client (KYC)
Know Your Product (KYP), where applicable
Suitability obligations
Conflicts of interest management
Complaint handling
Client disclosure requirements
Recordkeeping requirements
Marketing and communications review
Personal trading policies
Outsourcing oversight
AML & Financial Crime Work closely with the firm's Anti-Money Laundering Compliance Officer (or fulfill both roles whereappropriate)
Support compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA)
Oversee compliance processes relating to client identification, ongoing monitoring,sanctionsscreening, and suspicious transaction reporting
Training & Culture Develop and deliver compliance training
Promote a culture of integrity and ethical conduct
Provideregulatory guidance to employees and leadership
Ensure employees understand their regulatory responsibilities
Governance Partner with the Ultimate Designated Person (UDP) in overseeing the firm's compliance framework




Present compliance updates to executive leadership and the Board
Support governance committees as required
Provide independent compliance advice regarding new products, strategic initiatives, and business changes
What you'll bring to the team Qualified for approval as Chief Compliance Officer (CCO) under NI 31-103
Significant compliance experience within the Canadian securities industry
Strong knowledge of:National Instrument 31-103, provincial securities legislation,CSA Staff Notices and guidance, Client Focused Reforms, compliance systems and supervisory frameworks
Experience interacting with Canadian securities regulators
Strong understanding of governance, enterprise risk management, and internal controls
Excellent leadership, communication, and stakeholder management skills
High degree of integrity, professionalism, and sound judgment
It would be GREAT if you had: Experience with Salesforce
Familiarity with CRM platforms
Experience using SharePoint
Experience working in a high-growth startup or scale-up environment
What you can expect with our interview process: 30 min “get to know you” interview with our talent team
60 min “meet the hiring manager” interview
45 min “leadership interview” with decision makers
Why work for us: Learning and development stipend to put towards professional development
Comprehensive Compensation & Benefits: A competitive total compensation package that includes variable bonus, health and dental benefits, 3 weeks' vacation,10 daysPTO
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
A Connected team: Our social committee knows how to bring the fun! Team bonding game nights, workouts, wellness workshops, cooking classes, and more
Accommodation Statement: Objectwayis an equal chance employer committed to inclusive, barrier-free selection processes and work environments. We will accommodate any applicant under the Accessibility for Ontarians with Disabilities Act (AODA) and the Ontario Human Rights Code. If you require accommodation during any part of the hiring process, please let us know so that we can work with you to meet your needs.
Equality Policy: We are an equal opportunities employer, and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.
We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses and identifying potential inconsistencies or verification signals in application materials based on available information. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.

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📌 Compliance Manager (CCO Track) (Ontario)
🏢 Objectway
📍 Ontario