Director, Regulatory Compliance Operations

AIMCo•Edmonton, AB

1d•Hybrid

About The Position

Join AIMCo’s Compliance team as a Director or Senior Manager, Regulatory Compliance Operations, where you will play a key role in strengthening the operational effectiveness of our global regulatory compliance program. This role is ideal for a compliance, investment operations, or regulatory technology professional who enjoys translating complex regulatory requirements into practical, well-controlled processes. Reporting to the Managing Director, Regulatory and Ethics Compliance, you will lead the implementation, testing, and continuous improvement of regulatory operations controls, technology, and reporting processes. With a current focus on public markets and trading compliance, this role offers the opportunity to work at the intersection of regulation, data, technology, and investment activity while partnering closely with Compliance, Technology, Operations, Investment teams, vendors, auditors, and regulators. The position may be hired at either the Director or Senior Manager level, depending on the successful candidate’s experience, expertise, and demonstrated leadership capability.

Requirements

Undergraduate degree in business, finance, law, technology, or a related discipline; equivalent experience may be considered.
8+ years of progressive experience in regulatory compliance operations, investment operations, trading compliance, regulatory reporting, or a related control function.
Experience working within a complex financial services environment, such as an investment manager, pension plan, bank, broker-dealer, asset manager, or similar organization.
Strong understanding of investment products, public markets, trading activity, and securities regulatory requirements.
Demonstrated ability to translate regulatory requirements into practical operating procedures, controls, documentation, and accountabilities.
Experience designing, implementing, testing, and monitoring controls in a regulated environment.
Hands-on experience working with compliance technology, regulatory monitoring tools, market data platforms, portfolio or order management systems, or data analytics tools.
Strong analytical capability, including experience working with data to identify issues, assess risk, support decisions, and drive remediation.
Proven ability to partner with Technology, Compliance, Operations, Investment teams, vendors, auditors, and other stakeholders.
Excellent written and verbal communication skills, with the ability to provide clear recommendations and influence senior stakeholders.
Strong judgment, attention to detail, and ability to manage competing priorities in a fast-paced environment.

Nice To Haves

Professional designations (e.g., CFA, CPA, JD) or completion of relevant industry courses (e.g., Canadian Securities Course) considered an asset.
Commitment to AIMCo's values of excellence, transparency, humility, integrity and collaboration.

Responsibilities

Lead the day-to-day execution and continuous improvement of regulatory compliance operations, with a current focus on public markets and trading compliance.
Translate new and evolving regulatory requirements into clear operational procedures, timelines, controls, and accountabilities.
Implement, test, and monitor controls that support regulatory and internal policy requirements, ensuring processes are well governed, documented, and auditable.
Configure, test, and enhance regulatory compliance technology and data-driven solutions, including vendor platforms such as FundApps and Bloomberg.
Partner with Technology and internal stakeholders to source required data, resolve data quality issues, and implement scalable technology solutions.
Investigate alerts, validate data, coordinate approvals, and support the timely submission of regulatory disclosures.
Identify and remediate process, data, and system issues that may impact monitoring, reporting, or regulatory outcomes.
Prepare and maintain process documentation, checklists, evidence, metrics, and governance materials to support effective oversight and decision-making.
Support regulatory incident response by investigating root causes, recommending remediation actions, and closing control gaps.
Oversee vendor performance and change management for regulatory tools, including issue escalation, release testing, service levels, and business continuity considerations.
Serve as a senior subject matter expert for regulatory operations, supporting internal audits, external audits, and regulator inquiries, as required.
Train and support team members on regulatory operations processes, controls, and technology use.
Build strong cross-functional partnerships through proactive stakeholder engagement and a practical, solutions-oriented approach.