About company:
North American asset manager with an AUM of $19 Billion USD and a focus on private equity, real estate and infrastructure.
Why Join Us:
- Rare opportunity to build a North America-wide program at a scaled alternatives platform, with true authority and visibility, and a forward pathway to SEC RIA readiness
- Company willing to invest in resources and deploy technology tools in service of the compliance program
- Multi-award winning company in best managed, most admired and best workplace categories
Responsibilities:
- Build and mature an institutional-grade compliance program across Canada and the U.S., with a strong emphasis on SEC regulatory readiness and potential future RIA registration
- Play a leadership role in evaluating and integrating compliance technology, including AI-enabled tools to strengthen monitoring, testing, documentation and reporting capabilities
- Establish and co-chair Compliance & Conflicts Committee
- Implement or optimize compliance systems/technology to support policy compliance monitoring
- Stand up a risk-based monitoring & testing program with a documented calendar, evidence retention, findings tracking, and remediation governance
- Create a role-specific training program (Canada + U.S.) with completion tracking and effectiveness review
- Establish robust regulatory filing/reporting discipline across Canada and the U.S.
- Demonstrate RIA-readiness pathway (gap assessment, remediation plan, mock exam / exam preparedness posture), while continuing to meet Canadian registrant obligations
- Build and own a compliance framework capable of supporting current Canadian registrations (IM and EMD) and U.S. registration status (SEC ERA), and future SEC RIA registration
- Maintain and periodically test adherence to Canadian registrant obligations, including oversight of policies and procedures, supervision practices, recordkeeping, conflicts management, marketing practices, complaint handling, and outsourced service provider oversight
- Own Canadian and U.S. regulatory filings and reporting calendars (e.g., NRD/National Registration Database obligations in Canada, IFM spreadsheets and RAQs for the OSC and Form ADV and related filings in the U.S.), ensuring accuracy, timeliness, and auditability
- Lead readiness for regulatory reviews and examinations in both jurisdictions, including SEC examinations and OSC/CSA compliance reviews; coordinate responses, remediation, and documentation
- Establish a policy governance framework (policy vs procedure vs guidance), and consolidate and modernize the existing policy suite to ensure it is enforceable, evidencable, and actively embedded through training, monitoring and testing
- Develop and execute a risk-based compliance monitoring and testing program, including documented procedures, evidence retention, findings tracking, and remediation governance
- Prepare formal compliance reports for senior management and the relevant oversight committee(s), including trend analysis, material issues, and remediation status
- Support institutional LP due diligence and regulatory reviews, including compliance-related DDQs and ODD requests
Requirements:
- Essential education: Bachelor’s degree – Preferred Education: JD or MBA
- Deep regulatory fluency in SEC investment adviser requirements; ideally you will have taken a firm through SEC RIA registration
- Demonstrable experience leading and enhancing investment management compliance programs including Advisers Act, SEC examinations, Form ADV, marketing rule, books and records, and regulatory enforcement expectations
- Preferred: Canadian regulatory competency: demonstrated experience owning or operating within a Canadian registrant compliance program and interacting with Canadian securities regulators (OSC/CSA).
Application process for Chief Compliance Officer:
Qualified applicants to send a resume to Steve Harrison at steve@conselium.com
Location and travel requirements:
- Please note that you will need to reside in either Houston, TX or Miami, Fl in order to be in-office on a hybrid basis
- You need to be willing to travel periodically to other business locations in the US and Canada
