Nest Wealth Asset Management is a regulated Portfolio Manager and Canada’s first robo-adviser established in 2014. Our business is focused on personalization, cost-effectiveness and professional oversight while offering an investment service that is built for those who prefer a hands-off approach: a digital solution developed with a well-structured investment plan that supports our client needs with the creation of an appropriate portfolio of low-cost Exchange Traded Funds (ETFs). In January 2024, Nest Wealth became part of the Objectway Group, combining the strengths of two global fintech leaders to provide innovative solutions spanning the entire wealth and asset management value chain. The Group is a global Top 100 fintech provider (IDC ranking), whose clients include 250+ leading wealth managers, banks, asset managers, fund managers, insurers and outsourcers in more than 15 countries. With over 800 professionals operating from 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. The successful candidate will be accountable for establishing, maintaining, and overseeing the firm’s compliance system in accordance with National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations, applicable provincial securities legislation, and guidance issued by the Canadian Securities Administrators (CSA). The CCO serves 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. Regulatory Compliance Serve as the firm’s registered Chief Compliance Officer under NI 31-103 Establish and maintain policies and procedures that support compliance with securities legislation Monitor the effectiveness of the firm’s compliance system and recommend enhancements where appropriate Advise senior management regarding regulatory 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 procedures remain adequate and effective Conduct ongoing compliance monitoring and testing Identify compliance deficiencies and oversee remediation activities Maintain records supporting the firm’s compliance program Escalate material compliance issues to the UDP, executive management, and the Board, as appropriate Regulatory Reporting Coordinate regulatory filings and required reporting obligations Support securities commission compliance reviews and regulatory examinations Act as the primary compliance contact for securities regulators Prepare compliance reports for senior management and the Board of Directors Risk Management Perform periodic compliance risk assessments Identify emerging regulatory and operational risks Develop action plans to address identified compliance gaps Monitor implementation of corrective actions Lead Key Compliance Functions Complaint handling Personal trading policies Outsourcing oversight AML & Financial Crime Work closely with the firm’s Anti-Money Laundering Compliance Officer (or fulfill both roles where appropriate) Support compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) Oversee compliance processes relating to client identification, ongoing monitoring, sanctions screening, and suspicious transaction reporting Training & Culture Develop and deliver compliance training Provide regulatory guidance to employees and leadership Ensure employees understand their regulatory responsibilities Partner with the Ultimate Designated Person (UDP) in overseeing the firm’s compliance framework Present compliance updates to executive leadership and the Board Provide independent compliance advice regarding new products, strategic initiatives, and business changes Qualified for approval as Chief Compliance Officer (CCO) under NI 31-103 Significant compliance experience within the Canadian securities industry National Instrument 31-103 Compliance systems and supervisory frameworks Solid understanding of governance, enterprise risk management, and internal controls. Experience using Microsoft Office 365, SharePoint and Salesforce The expected base salary range for this position is $180,000–$200,000 CAD annually. 45 mins CCO interview A competitive total compensation package that includes variable bonus, health and dental benefits, 3 weeks' vacation, 10 days PTO Learning & Development: $1000 L&D; stipend t

📌 Director, Compliance Risk Management (Toronto)
🏢 Objectway
📍 Toronto