Senior Compliance Manager

3iQ

7d•CA$140,000 - CA$150,000•Remote

About The Position

3iQ is looking for a Senior Compliance Manager to support and help manage the day-to-day operation of the compliance function across the organization. This role is intended for a senior compliance professional who can manage key compliance workstreams independently, apply regulatory knowledge to practical business issues, and support effective risk-based decision-making. This role reports directly into the Chief Compliance Officer and will be responsible for managing and coordinating compliance monitoring, testing, reporting, regulatory tracking, policy implementation, training, marketing review, and cross-functional compliance support while balancing regulatory, vendor, business, and legal considerations. This is a new role.

Requirements

6 to 8 years of compliance experience within an investment fund manager, asset manager, wealth manager, dealer, digital asset/crypto firm, or other regulated financial institution.
Advanced knowledge of Canadian securities regulation, including National Instruments applicable to investment fund managers, portfolio managers, exempt market dealers, public investment funds, ETFs, and continuous disclosure requirements.
Experience supporting organizations that operate across multiple regulatory jurisdictions and legal entities, including coordinating compliance programs, regulatory filings, and governance requirements across different countries and regulatory frameworks.
Strong understanding of global regulatory obligations applicable to digital asset, investment management, and financial services businesses, including experience working with foreign regulators, service providers, and legal counsel.
Experience developing, implementing, and maintaining enterprise-wide compliance programs, policies, procedures, controls, monitoring, testing, and regulatory reporting frameworks.
Experience with regulatory registration and licensing requirements, regulatory examinations, audits, inspections, and ongoing regulator engagement.
Familiarity with anti-money laundering (AML), anti-terrorist financing (ATF), sanctions compliance, know-your-client (KYC), and financial crime compliance programs.
Experience reviewing and overseeing marketing, sales, distribution, and client-facing materials for compliance with applicable regulatory requirements.
Strong understanding of portfolio management, trading, investment restrictions, trade surveillance, conflicts of interest management, and investment fund compliance requirements.
Experience supporting new product launches, cross-border offerings, and regulatory approval processes, including coordination with internal stakeholders and external service providers.
Ability to analyze evolving regulatory requirements and translate them into practical business solutions while maintaining a strong compliance culture.
Ability to manage compliance workstreams independently, exercise sound judgment, and escalate issues appropriately to the CCO and senior stakeholders.
Demonstrated experience coordinating cross-functional compliance initiatives with legal, investment, operations, finance, marketing, and external service provider teams.
Proven ability to work collaboratively with executive leadership, legal, investments, finance, business development, and external partners in a fast-paced and highly regulated environment.
Exceptional organizational skills, strong attention to detail, and the ability to manage multiple regulatory initiatives and deadlines simultaneously.
Excellent written and verbal communication skills with the ability to interact effectively with all levels of the organization and present complex regulatory matters in a clear and practical manner.

Nice To Haves

Experience with digital asset, cryptocurrency, blockchain, tokenized asset, or alternative investment products.
Experience supporting regulated businesses operating in jurisdictions such as Canada, Switzerland, Cayman Islands, United Kingdom, United Arab Emirates, or similar international markets.

Responsibilities

Manage and coordinate the monitoring and assessment of compliance with applicable Canadian securities laws, investment fund regulations, and internal policies and procedures.
Support the preparation of reporting, recommendations, and strategic compliance updates for the Chief Compliance Officer, Vice President, Legal, Ultimate Designated Person, senior management, and governance committees.
Manage and conduct regular compliance testing and monitoring activities to identify and mitigate regulatory risks.
Track regulatory developments and industry changes, assess business impacts, and recommend necessary updates to policies, procedures, and controls.
Manage portfolio and investment management compliance activities as directed by the CCO, including policy management and the maintenance of internal policies, procedures, guidelines, and related controls.
Identify, investigate, document, and escalate compliance issues and recommend corrective actions where required.
Support and oversee portfolio management and trading compliance activities, including monitoring investment restrictions, conflicts of interest, and trade surveillance programs.
Monitor trading activities and investment management practices to ensure adherence to regulatory requirements and internal controls.
Coordinate preparation for and support regulatory examinations, audits, inspections, and information requests.
Act as a trusted advisor to business teams by providing practical guidance on regulatory requirements, compliance risks, and best practices.
Review marketing, advertising, investor communications, and public-facing materials to ensure compliance with applicable regulations and internal standards.
Support the administration of AML, ATF, sanctions screening, KYC, and financial crime compliance programs.
Support the compliance review and launch of new products, investment vehicles, cross-border offerings, and strategic business initiatives.
Maintain strong working relationships with regulators, external counsel, auditors, fund service providers, and industry participants.
Lead or support special projects and strategic initiatives as assigned by the CCO.