Compliance Manager

Nicola Wealth • Vancouver, BC

1d

About The Position

Nicola Wealth is a national leader in wealth management, recognized as a Best Managed Company and one of Canada’s Top Employers. We are dedicated to upholding our firm’s values through significant growth. We foster a collaborative, creative, and entrepreneurial environment where employees can make a real impact and build rewarding careers. We are passionate about our business, our culture, and investing in employee growth and development.

The Compliance Manager, reporting to the Chief Compliance Officer, is crucial for supporting the firm’s compliance and risk management functions. This role ensures the organization’s policies and practices align with regulatory requirements, contributing to a strong culture of compliance through practical program delivery, operational rigor, and continuous improvement.

Requirements

• Minimum 5–7 years of experience in compliance or risk management roles within a registered Portfolio Manager, EMD, or IIROC firm or in investment/banking/mutual fund/insurance dealer and/or securities/insurance regulator.
• Undergraduate degree in a related field.
• Proficient with MS Office (Office, Excel, Outlook).
• Experience with compliance policy writing.
• Audit, risk management and privacy law knowledge.

Nice To Haves

• Industry certifications such as CIM, CFA are assets.
• Knowledge of BCSC, OSC, SEC, Canadian and US legislation and regulation an asset.

Responsibilities

• Support the implementation and maintenance of the firm’s compliance program, ensuring alignment with relevant legislation and internal policies.
• Monitor regulatory developments and make recommendations for updating compliance policies and procedures to reflect changes in legislation and best practices.
• Contribute to the development and delivery of compliance training materials for employees across the organization.
• Participate in internal assessments to identify compliance gaps, recommend improvements to strengthen controls and enhance operational efficiency.
• Execute day-to-day compliance operational activities including regulatory reporting, process documentation, and support for regulatory audits by the BCSC, OSC, and FINTRAC etc.
• Identify and implement opportunities to streamline compliance workflows, enhance operational efficiency, and reduce risk exposure.
• Partner cross-functionally to embed practical compliance controls into business processes and support consistent adoption of standards.

Benefits

• Competitive base salary hiring range of $90,000 - $110,000, dependent on experience, skills, qualifications and internal equity.
• Profit sharing
• Benefit programs on day one
• Opportunity to participate in our share ownership program

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level