Compliance - Associate

iCapital

  • Toronto, ON
  • Permanent
  • Full-time
  • 15 days ago
About the RoleiCapital is seeking a Compliance Officer to join the Global Regulatory and Compliance team to support our Compliance team in Canada to ensure adherence to applicable securities laws, regulations and internal policies. The ideal candidate will have experience in regulatory compliance within the investment industry and a strong understanding of National Instrument (“NI”) requirements and regulatory expectations for Portfolio Managers (“PMs”), Exempt Market Dealers (“EMDs”), and Investment Fund Managers (“IFMs”). This role will assist with a variety of regulatory activities both at the firm level and for investment vehicles. The individual will provide support for all regulatory and compliance matters for iCapital's business in Canada. iCapital operates through several different international entities, many of which are licensed to conduct regulated activities. The successful candidate will partner with the business teams to ensure that our Canadian office is operating within the letter and the spirit of the regulations.Responsibilities
  • Assist in the development, implementation, communication, maintenance and monitoring of compliance policies and procedures to ensure adherence to securities regulations (e.g., Ontario Securities Act, NI 31-103, NI 45-106).
  • Foster a culture of compliance across the organization.
  • Establish strong working relationships with business partners and other stakeholders.
  • Effectively collaborate with various departments, within iCapital, to ensure alignment on compliance issues.
  • Liaise with external parties and internal stakeholders for compliance-related matters and corporate governance.
  • Support the preparation and filing of regulatory reports, including 45-106F1s, capital market participation fee filings, and other filings.
  • Manage the Canada Compliance Calendar and ensure that all due dates and responsible individuals or parties are held accountable.
  • Support regulatory audits, inquiries, and inspections by securities regulators, as required.
  • Monitor and track regulatory developments and update internal policies accordingly.
  • Assist with compliance training and attestations for employees, ensuring ongoing awareness of regulatory requirements and ethical standards.
  • Coordinate and organize board meetings, including preparation of packages and minutes.
  • Maintain compliance records and support the management of regulatory filings, certifications, and other compliance-related documents.
  • Contribute to the implementation and continuous improvement of programs, processes, policies, and tools to meet or exceed regulatory requirements, industry best practices, and/or achieve organizational goals.
  • Support the Canada Legal and Compliance team overall and provide back-up for the other members of the iCapital team.
  • Other duties as assigned by the Vice President, Compliance and Chief Compliance Officer.
Qualifications
  • 3+ years of experience of senior compliance, business controls, operations and regulatory experience with an IFM, PM, and EMD entity regulated by the Canadian securities authorities
  • Compliance expertise in the private fund and investment management space
  • Experience with regulatory filings is an asset
  • Excellent analytical skills, attention to detail, and ability to interpret regulatory requirements
  • Adaptable and entrepreneurial, able to work within the fast-paced, growing and constantly evolving structure of a high-growth company
  • Strong written and verbal communication skills
  • Able to manage multiple tasks, meet deadlines, and work independently or as part of a team
  • Strong computer skills, including MS Suite - Word, Excel, and PowerPoint, DocuSign, etc.
  • Native-level English communication for collaboration with head office and external, international stakeholders and suppliers
BenefitsWe believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.iCapital offers a comprehensive benefits package that includes a competitive total compensation package consisting of salary, bonus, and equity for all full-time employees. The Company pays 100% of the premium for all Group Benefits for you and your dependents. Some of these benefits include medical, dental, vision, prescription, life insurance and long-term disability. We offer a variety of Retirement Plans so of which have a company match. We offer unlimited Paid Time Off (PTO) and most employees the flexibility to work in the office three to four days and remotely for the remainder of the week. Every department has different needs, and some positions will be designated in-office jobs, based on their function. For additional information on iCapital, please visit Twitter: @icapitalnetwork | LinkedIn: Awards Disclaimer:iCapital is proud to support a fair and inclusive workplace, in which all applicants have an opportunity to fulfill their potential and every person has the right to equal treatment with respect to employment without discrimination. iCapital does not tolerate any discrimination contrary to the Ontario Human Rights Code, including on the grounds of race, ancestry, place of origin, colour, ethnic origin, citizenship, creed, sex, sexual orientation, gender identity, gender expression, age, record of offences, marital status, family status or disability.

iCapital