Chief Compliance Officer

About The Role

Who We Are: Nest Wealth Asset Management is a regulated Portfolio Manager and Canada’s first robo-adviser established in 2014. Ourbusiness is focused on personalization, cost-effectiveness and professional oversight while offering an investment service that is built for those who prefer a hands-off approach: a digital solution developed with a well-structured investment plan that supports our client needs with the creation of an appropriate portfolio of low-cost Exchange Traded Funds (ETFs). In January 2024, Nest Wealth became part of the Objectway Group, combining the strengths of two global fintech leaders to provide innovative solutions spanning the entire wealth and asset management value chain. The Objectway Group is a future-proof technology player with a well-established track record in the financial services industry with over €120 million of consolidated revenue. The Group is a global Top 100 fintech provider (IDC ranking), whose clients include 250+ leading wealth managers, banks, asset managers, fund managers, insurers and outsourcers in more than 15 countries. With over 800 professionals operating from Italy, UK, Belgium, Germany, Switzerland and Canada, the Group serves clients in 4 continents, supporting approximately 100,000 investment professionals to manage more than €1 trillion in assets.

The Opportunity

The successful candidate will be accountable for establishing, maintaining, and overseeing the firm's compliance system in accordance with National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations, applicable provincial securities legislation, and guidance issued by the Canadian Securities Administrators (CSA).

The CCO serves as the firm's designated compliance officer and works closely with the Ultimate Designated Person (UDP), executive leadership, and business teams to promote a strong culture of compliance, ethical conduct, and investor protection.

This role provides independent oversight of the firm's regulatory compliance framework while supporting responsible business growth and operational excellence.

How You’ll Make An Impact:

1. Regulatory Compliance

Serve as the firm's registered Chief Compliance Officer under NI 31-103

Establish and maintain policies and procedures that support compliance with securities legislation

Monitor the effectiveness of the firm's compliance system and recommend enhancements where appropriate

Ensure the firm maintains an effective supervisory framework

Advise senior management regarding regulatory obligations and emerging regulatory developments

Maintain ongoing awareness of changes to Canadian securities laws, CSA guidance, and self-regulatory organization requirements, where applicable

2. Compliance Oversight

Assess whether the firm's policies and procedures remain adequate and effective

Conduct ongoing compliance monitoring and testing

Identify compliance deficiencies and oversee remediation activities

Maintain records supporting the firm's compliance program

Escalate material compliance issues to the UDP, executive management, and the Board, as appropriate

3. Regulatory Reporting

Coordinate regulatory filings and required reporting obligations

Support securities commission compliance reviews and regulatory examinations

Act as the primary compliance contact for securities regulators

Prepare compliance reports for senior management and the Board of Directors

4. Risk Management

Perform periodic compliance risk assessments

Identify emerging regulatory and operational risks

Develop action plans to address identified compliance gaps

Monitor implementation of corrective actions

5. Lead Key Compliance Functions

Know Your Client (KYC)

Know Your Product (KYP), where applicable

Suitability obligations

Conflicts of interest management

Complaint handling

Client disclosure requirements

Recordkeeping requirements

Marketing and communications review

Personal trading policies

Outsourcing oversight

6. AML & Financial Crime

Work closely with the firm's Anti-Money Laundering Compliance Officer (or fulfill both roles where appropriate)

Support compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA)

Oversee compliance processes relating to client identification, ongoing monitoring, sanctions screening, and suspicious transaction reporting

7. Training & Culture

Develop and deliver compliance training

Promote a culture of integrity and ethical conduct

Provide regulatory guidance to employees and leadership

Ensure employees understand their regulatory responsibilities

8. Governance

Partner with the Ultimate Designated Person (UDP) in overseeing the firm's compliance framework

Present compliance updates to executive leadership and the Board

Support governance committees as required

Provide independent compliance advice regarding new products, strategic initiatives, and business changes

What You’ll Bring To The Team:

Qualified for approval as Chief Compliance Officer (CCO) under NI 31-103

Significant compliance experience within the Canadian securities industry

Strong knowledge of:

National Instrument 31-103

Provincial securities legislation

CSA Staff Notices and guidance

Client Focused Reforms

Compliance systems and supervisory frameworks

Experience interacting with Canadian securities regulators.

Strong understanding of governance, enterprise risk management, and internal controls.

Excellent leadership, communication, and stakeholder management skills.

High degree of integrity, professionalism, and sound judgment.

It would be GREAT if you had:

Experience working in a high-growth start-up or scale-up environment

Experience using Microsoft Office 365, SharePoint and Salesforce

Additional information

What you can expect with our interview process: 30 min “get to know you” interview with our talent team