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. 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). 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. 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 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 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 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 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 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 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 Strong knowledge of:National Instrument 31-103, provincial securities legislation,CSA Staff Notices and guidance, Client Focused Reforms, compliance systems and supervisory frameworks Strong understanding of governance, enterprise risk management, and internal controls Experience with Salesforce Familiarity with CRM platforms Experience using SharePoint 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 career development, Lunch & Learn opportunities, continual companywide workshops Support for Growing Families: We we

📌 Compliance Manager (Toronto)
🏢 Objectway
📍 Toronto