About Roots FundingRoots Funding Inc. is an Exempt Market Dealer registered with the Ontario Securities Commission and the operator of PMX (Private Market Exchange), a global private capital marketplace connecting accredited and eligible investors with vetted private market opportunities. With entities and operations spanning Canada, the US, the UK, the UAE, the EU, and Hong Kong, we are building institutional-grade infrastructure for private capital, with compliance at the core of everything we do.The RoleWe are looking for a detail-oriented Junior Compliance Officer to join our compliance team and support the Chief Compliance Officer in maintaining a robust, scalable compliance program. This is a hands-on role with direct exposure to securities regulation, AML/KYC/KYB and cross-border private market activity. You don't need to know everything on day one: we will provide structured training and ongoing support so you can build your expertise with confidence. It's an ideal opportunity for an early-career professional who wants to grow quickly in a fast-moving, multi-jurisdictional setting.What You'll DoConduct KYC, KYP, and suitability reviews for investors and issuers onboarded to the PMX platformSupport AML/ATF program operations, including client screening, sanctions and PEP checks, transaction monitoring, and FINTRAC reportingReview offering documents, subscription agreements, and investor files for completeness and regulatory accuracyPrepare and track regulatory filings, including reports of exempt distribution (Form 45-106F1) and related filings across Canadian jurisdictionsReview marketing materials, website content, and investor communications for compliance with NI 31-103 and applicable securities lawsAssist with conflicts of interest management, relationship disclosure,



and Client Focused Reforms obligationsMaintain compliance records, logs, and registers (complaints, gifts and entertainment, personal trading, outside activities)Support internal compliance testing, policy updates, and preparation for regulatory examinations and auditsHelp coordinate compliance workstreams across our international entities as the platform growsWhat You BringCompletion of the Canadian Securities Course (CSC) (required)Chief Compliance Officer (CCO) to be completed in 3 months0 to 2 years of experience in compliance, operations, or onboarding at a dealer, advisor, bank, or fintech (internships and co-ops count)Working knowledge of NI 31-103, NI 45-106 prospectus exemptions, and Canadian AML/ATF requirementsStrong attention to detail and a methodical approach to documentationClear written communication and comfort engaging with investors, issuers, and internal teamsProficiency with Microsoft 365; comfort learning compliance and CRM toolsA degree in finance, business, law, economics, or a related fieldNice to HaveExempt Market Products (EMP) exam, Conduct and Practices Handbook (CPH), or progress toward the CCO Qualifying ExamAML credentials such as CAMS or ACAMS courseworkExposure to private markets, exempt market distributions, or crowdfunding platformsFamiliarity with US (SEC/FINRA), UK (FCA), ADGM, or Hong Kong regulatory frameworksWhy Join UsStructured onboarding and hands-on training in exempt market compliance, AML/ATF, and regulatory filingsDirect mentorship from a CCO who built the firm's regulatory framework from the ground upSupport toward further designations such as the CPH, EMP, or CCO Qualifying ExamReal exposure to multi-jurisdictional licensing and cross-border private capitalHybrid work arrangement based out of our downtown Toronto office in the financial district

📌 Junior Compliance Officer (Toronto)
🏢 Roots Funding
📍 Toronto