Chief Compliance Officer

Job Description

<p><p>Reporting to the CEO and working closely with executive leadership in both Canada and the U.S., the Chief Compliance Officer (CCO) will be responsible for the design, implementation, and leadership of the firm’s Canadian compliance program. As the designated CCO under NI 31-103, you will oversee all compliance functions for our Canadian entities while also supporting alignment with U.S. regulatory frameworks (e.g., SEC, FINRA) and managing cross-border issues, such as dual registrant oversight, cross-border advisory services, and U.S.-Canada information sharing requirements.</p><p>This is a senior leadership role for a compliance professional with deep regulatory knowledge, sound judgment, and an ability to operate across borders with confidence.</p><h3>Key Responsibilities</h3><ul><li>Serve as the designated Chief Compliance Officer under NI 31-103 for a PM/IFM/EMD firm with OSC as the principal regulator.</li><li>Lead all aspects of the Canadian compliance program, ensuring adherence to relevant provincial and national securities laws and regulations (OSC, CSA, AML, etc.).</li><li>Monitor and interpret regulatory developments across all Canadian provinces and advise senior leadership on implications.</li><li>Develop and maintain the firm’s Compliance Manual, internal policies, and procedures to reflect evolving regulatory expectations and business practices.</li><li>Conduct internal compliance monitoring, testing, and annual compliance reviews, and lead regulatory audit readiness.</li><li>Oversee AML/ATF and KYC programs in compliance with Canadian and cross-border standards.</li><li>Act as the primary liaison with the OSC, CSA members, and other provincial regulators; coordinate regulatory filings and manage responses to examinations or inquiries.</li><li>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.</li><li>Evaluate compliance impacts of cross-border product offerings and marketing, including U.S. person rules, Form ADV disclosures, and fund registration exemptions.</li><li>Provide regular training to Canadian staff and support training across the North American group where relevant.</li><li>Work closely with legal, operations, investment, and technology teams to embed compliance into all aspects of the business.</li></ul><h3>Qualifications</h3><ul><li>Must meet OSC registration requirements to act as Chief Compliance Officer under NI 31-103.</li><li>Minimum 7–10 years of senior compliance experience within the Canadian investment management or wealth management industry.</li><li>Experience with cross-border compliance issues, especially involving SEC/OSC coordination or dual-registered advisory firms.</li><li>Strong understanding of Canadian securities laws and regulatory frameworks, including OSC, CSA instruments (e.g., NI 31-103, NI 81-102), and provincial requirements.</li><li>Familiarity with U.S. securities regulations (e.g., Investment Advisers Act of 1940, Form ADV, Reg BI) is a strong asset.</li><li>Excellent written and verbal communication skills, with an ability to present complex regulatory issues to executive stakeholders.</li><li>Strong leadership skills and the ability to operate independently while collaborating across geographies and departments.</li></ul><h3>Preferred Certifications/Designations</h3><ul><li>Canadian Securities Course (CSC)</li><li>Conduct and Practices Handbook (CPH)</li><li>Legal background or LL.B./J.D. (an asset)</li><li>U.S. Series 65, 66, or experience with SEC filings (asset)</li><li>CAMS or CFE (asset for AML-focused responsibilities)</li></ul><h3>What We Offer</h3><ul><li>A leadership role in a North American financial services group with meaningful influence on cross-border regulatory strategy.</li><li>Competitive compensation and performance-based bonus.</li><li>A high-impact opportunity in a collaborative, entrepreneurial culture with strong executive support.</li></ul><p>Bellwether Investment Management Inc. is an equal opportunity employer committed to diversity and inclusion. Accommodation during the application process is available upon request.</p></p>
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