Key Responsibilities

• Serve as the designated Chief Compliance Officer under NI 31-103 for a PM/IFM/EMD firm with OSC as the principal regulator.
• Lead all aspects of the Canadian compliance program, ensuring adherence to relevant provincial and national securities laws and regulations (OSC, CSA, AML, etc.).
• Monitor and interpret regulatory developments across all Canadian provinces and advise senior leadership on implications.
• Develop and maintain the firm’s Compliance Manual, internal policies, and procedures to reflect evolving regulatory expectations and business practices.
• Conduct internal compliance monitoring, testing, and annual compliance reviews, and lead regulatory audit readiness.
• Oversee AML/ATF and KYC programs in compliance with Canadian and cross-border standards.
• Act as the primary liaison with the OSC, CSA members, and other provincial regulators; coordinate regulatory filings and manage responses to examinations or inquiries.
• Collaborate with U.S.-based compliance teams of affiliated SEC-registered firms to ensure consistency and coordination on cross-border advisory services, marketing, disclosures, and shared infrastructure.
• Evaluate compliance impacts of cross-border product offerings and marketing, including U.S. person rules, Form ADV disclosures, and fund registration exemptions.
• Provide regular training to Canadian staff and support training across the North American group where relevant.
• Work closely with legal, operations, investment, and technology teams to embed compliance into all aspects of the business.

Qualifications

• Must meet OSC registration requirements to act as Chief Compliance Officer under NI 31-103.
• Minimum 7–10 years of senior compliance experience within the Canadian investment management or wealth management industry.
• Experience with cross-border compliance issues, especially involving SEC/OSC coordination or dual-registered advisory firms.
• Strong understanding of Canadian securities laws and regulatory frameworks, including OSC, CSA instruments (e.g., NI 31-103, NI 81-102), and provincial requirements.
• Familiarity with U.S. securities regulations (e.g., Investment Advisers Act of 1940, Form ADV, Reg BI) is a strong asset.
• Excellent written and verbal communication skills, with an ability to present complex regulatory issues to executive stakeholders.
• Strong leadership skills and the ability to operate independently while collaborating across geographies and departments.

Preferred Certifications/Designations

• Canadian Securities Course (CSC)
• Chief Compliance Officers Qualifying Exam / OPD (Officers’, Partners’ & Directors’ Course)
• Conduct and Practices Handbook (CPH)
• Legal background or LL.B./J.D. (an asset)
• U.S. Series 65, 66, or experience with SEC filings (asset)
• CAMS or CFE (asset for AML-focused responsibilities)

What We Offer

• A leadership role in a North American financial services group with meaningful influence on cross-border regulatory strategy.
• Competitive compensation and performance-based bonus.
• Comprehensive benefits package.
• Flexible hybrid work model.
• A high-impact opportunity in a collaborative, entrepreneurial culture with strong executive support.

Bellwether Investment Management Inc. is an equal opportunity employer committed to diversity and inclusion. Accommodation during the application process is available upon request.