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 opportunityThis 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 impactRegulatory ComplianceServe as the firm's registered Chief Compliance Officer under NI 31-103Establish andmaintainpolicies and procedures that support compliance with securities legislationMonitor the effectiveness of the firm's compliance system and recommend enhancements where appropriateEnsure the firmmaintainsan effective supervisory frameworkAdvisesenior managementregardingregulatory obligations and emerging regulatory developmentsMaintain ongoing awareness of changes to Canadian securities laws, CSA guidance, and self-regulatory organization requirements, where applicableCompliance OversightAssess whether the firm's policies and proceduresremainadequate and effectiveConduct ongoing compliance monitoring and testingIdentifycompliance deficiencies and oversee remediation activitiesMaintainrecords supporting the firm's compliance programEscalate material compliance issues to the UDP, executive management, and the Board, asappropriateRegulatory ReportingCoordinate regulatory filings and required reporting obligationsSupport securities commission compliance reviews and regulatory examinationsAct as the primarycompliancecontact for securities regulatorsPrepare compliance reports for senior management and the Board of DirectorsRisk ManagementPerform periodic compliance risk assessmentsIdentifyemerging regulatory and operational risksDevelop action plans to address identified compliance gapsMonitor implementation of corrective actionsLead Key Compliance FunctionsKnow Your Client (KYC)Know Your Product (KYP), where applicableSuitability obligationsConflicts of interest managementComplaint handlingClient disclosure requirementsRecordkeeping requirementsMarketing and communications reviewPersonal trading policiesOutsourcing oversightAML & Financial CrimeWork 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 reportingTraining & CultureDevelop and deliver compliance trainingPromote a culture of integrity and ethical conductProvideregulatory guidance to employees and leadershipEnsure employees understand their regulatory responsibilitiesGovernancePartner with the Ultimate Designated Person (UDP)



in overseeing the firm's compliance frameworkPresent compliance updates to executive leadership and the BoardSupport governance committees as requiredProvide independent compliance advice regarding new products, strategic initiatives, and business changesWhat you'll bring to the teamQualified for approval as Chief Compliance Officer (CCO) under NI 31-103Significant compliance experience within the Canadian securities industryStrong knowledge of:National Instrument 31-103, provincial securities legislation,CSA Staff Notices and guidance, Client Focused Reforms, compliance systems and supervisory frameworksExperience interacting with Canadian securities regulatorsStrong understanding of governance, enterprise risk management, and internal controlsExcellent leadership, communication, and stakeholder management skillsHigh degree of integrity, professionalism, and sound judgmentIt would be GREAT if you had:Experience with SalesforceFamiliarity with CRM platformsExperience using SharePointExperience working in a high-growth startup or scale-up environmentWhat you can expect with our interview process:30 min "get to know you" interview with our talent team60 min "meet the hiring manager" interview45 min "leadership interview" with decision makersWhy work for us:Learning and development stipend to put towards professional developmentComprehensive Compensation & Benefits: A competitive total compensation package that includes variable bonus, health and dental advantages, 3 weeks' vacation,10 daysPTOLearning & Development: $1000 L&D stipend to put towards professional development, Lunch & Learn opportunities, continual companywide workshopsSupport for Growing Families: We welcome new additions with a parental leave top-up programA Connected team: Our social committee knows how to bring the fun! Team bonding game nights, workouts, wellness workshops, cooking classes, and moreAccommodation Statement:Objectwayis an equal opportunity 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. #J-18808-Ljbffr

📌 Compliance Manager (Toronto)
🏢 Objectway
📍 Toronto