Objectway is a FinTech software and services company serving banks, wealth managers, asset managers, and other financial institutions. Its cloud-capable platform supports wealth management, investment management, and banking operations through digital wealth solutions, portfolio analytics, risk and performance tools, and operational automation. Drawing on more than 30 years of domain experience, Objectway develops scalable and composable technology for private and retail banks, investment managers, and life and pension providers operating across multiple countries.
Chief Compliance Officer – Toronto (Hybrid)
Lead regulatory compliance, AML controls, and governance for Nest Wealth, a Canadian robo-adviser. Advise senior leadership and the Board while supporting compliant fintech growth.
Description
- Build and oversee the firm's compliance program in line with NI 31-103, provincial securities laws, and CSA guidance
- Act as the firm's registered Chief Compliance Officer under NI 31-103
- Develop and maintain compliance policies, procedures, and supervisory controls
- Assess compliance effectiveness, perform testing, identify gaps, and manage remediation
- Advise senior leaders on regulatory requirements and emerging developments
- Manage regulatory filings and required compliance reporting
- Assist with securities commission reviews and regulatory examinations
- Serve as the main compliance liaison with securities regulators
- Prepare compliance updates and reports for senior management and the Board
- Conduct compliance risk assessments and track corrective measures
- Oversee KYC, KYP, suitability, conflicts of interest, complaints, disclosures, recordkeeping, marketing approvals, personal trading, and outsourcing controls
- Support PCMLTFA obligations, including client identification, monitoring, sanctions screening, and suspicious transaction reporting
- Create and deliver compliance training while reinforcing ethical standards
- Work with the UDP on compliance governance and report developments to executive leadership and the Board
- Give independent compliance guidance on new products, strategic initiatives, and business changes
Requirements
- Meet the qualifications required for approval as a Chief Compliance Officer under NI 31-103
- Bring substantial compliance experience from the Canadian securities industry
- Demonstrate strong knowledge of National Instrument 31-103
- Demonstrate strong knowledge of provincial securities legislation
- Demonstrate strong knowledge of CSA Staff Notices and related guidance
- Demonstrate strong knowledge of the Client Focused Reforms
- Demonstrate strong knowledge of compliance programs and supervisory frameworks
- Have experience engaging with Canadian securities regulators
- Understand governance, enterprise risk management, and internal control frameworks
- Bring excellent leadership, communication, and stakeholder management abilities
- Show exceptional integrity, professionalism, and judgment
- Experience with Microsoft Office 365, SharePoint, and Salesforce is preferred