is an independent financial services company with an unrelenting focus on customer-centric innovation, delivered through technology-driven solutions. Led by entrepreneur Som Seif, the company is developing a diversified product platform aimed at addressing historically underserved segments of the market. smission is to help Canadians build their wealth through a better, more human experience. The Associate Director, Compliance is the operational leader of SIFI’s Compliance function and is accountable for the day-to-day management, execution and continuous enhancement of the compliance program for its CIRO-regulated mutual fund dealer activities. The role translates the compliance risk assessment and annual plan into effective monitoring, testing, reporting, remediation and regulatory support. Reporting to the Chief Compliance Officer (CCO), the Associate Director provides technical leadership, provides day to day management of Compliance resources, establishes program standards and quality controls, and escalates material, complex or unresolved matters. SIFI) is seeking an Associate Director, Compliance to help lead and continuously enhance its compliance program. Reporting to the Chief Compliance Officer, this role serves as the operational leader of the Compliance function and manages the day-to-day compliance program for a CIRO-regulated mutual fund dealer. The Associate Director provides leadership across monitoring and testing, branch reviews, registrations, complaints, governance reporting, regulatory examinations, policy management and regulatory change implementation. The successful candidate will combine technical compliance expertise with people leadership, program management and practical business partnership.



This role offers meaningful responsibility and a potential development path toward future Chief Compliance Officer responsibilities. This is a second-line compliance leadership role. Day-to-day supervision of Approved Persons, new-account approvals, trade reviews and suitability decisions remain with the Branch Manager role. The Associate Director assesses whether supervisory systems are operating effectively and does not replace first-line supervision. Compliance program leadership Lead the day-to-day operation of the firm’s compliance program and manage execution of the annual compliance plan. Maintain the compliance risk assessment, compliance calendar and risk-based testing framework. Establish monitoring methodologies, documentation standards, quality controls and escalation protocols. Prioritize resources and continually enhance the effectiveness, efficiency and scalability of the compliance function. Monitoring and testing oversight Design and oversee risk-based monitoring and testing of compliance and supervisory controls. Design and oversee risk-based reviews of Operations processes and related controls for compliance, including money and securities movement, books-and-records activities, client reporting and reconciliations. Review testing results, trends, recurring deficiencies and emerging risks. Challenge supervisory effectiveness and oversee remediation plans and validation testing. Escalate material findings,



high-risk matters and unresolved issues to the CCO. Approve the annual review schedule, risk-based scope and testing approach. Monitor management responses, remediation commitments and overdue actions. Oversee the continuing education, proficiency, annual training and attestation programs. Complaints, investigations and regulatory reporting Oversee complaint handling, investigations, resolution recommendations and regulatory event assessments. Review required regulatory notifications, filings and reporting submissions. Escalate material complaints, reportable events and significant conduct concerns to the CCO. Regulatory examinations and reviews Lead operational preparation for CIRO examinations, regulatory reviews, audits and information requests. Coordinate document production, response drafting, examination logistics and internal stakeholders. Support the CCO in regulator interactions and on material examination matters. Regulatory change, policies and training Monitor regulatory developments and conduct impact assessments and gap analyses. Coordinate implementation of regulatory changes across policies, procedures, controls and business practices. Maintain compliance policies, guidance and communications and oversee the annual policy review cycle. Develop and deliver practical training and awareness initiatives. Prepare transparent, decision-useful compliance reporting for senior management and governance forums. Develop dashboards, metrics and key risk indicators and maintain issue and remediation tracking. Assist the CCO with annual compliance reporting and other governance materials. Manage and develop Compliance Officer(s) and future compliance resources. Establish clear goals, priorities, perfor

📌 Associate Director (Toronto)
🏢 Purpose
📍 Toronto