Careers

Chief Compliance Officer

Tempered Investment Management Ltd. is looking for a dynamic team-player to take over the role of Chief Compliance Officer.



JOB DESCRIPTION


Reporting to Ultimate Designated Person, the successful candidate for Chief Compliance Officer will be responsible for, but not limited to the following:

  • Establish, review and maintain Compliance Manual and Policies and Procedures with Canadian and foreign jurisdiction regulators.
  • Review and monitor the current regulatory requirements and enact the changes as necessary.
  • Coordinate and oversee the current compliance filings in multiple jurisdictions (Canada, Korea, Japan and others as they arise).
  • Monitor and oversee application of the trading rules and restrictions on the trading platform. 
  • Review, monitor and approve personal trading and maintain code of ethics and personal trading policies. 
  • Execute, maintain and monitor compliance policies and procedures and resolve any issues.
  • Report non-compliance to the UDP.
  • Author the annual compliance report to Board of Directors.
  • Coordinate with regulators during audits and reviews.
  • Review and approve Investment Management Agreements and Offering Memorandum subscription agreements and conduct suitability reviews on the new clients.
  • Maintain customer facing documents such as KYC.
  • Coordinate and approve marketing materials, including the materials for the website.
  • Communicate as needed with new prospects and potential clients. 
  • Attend to various other duties and projects as required.

Qualifications:

  • Minimum 3 years of working compliance experience
  • PDO or Chief Compliance Officers course completion required
  • CSC course completion required
  • Working knowledge of IIROC, FINTRAC, FATCA, FINRA, SEC and Securities Act is an asset.
  • Strong attention to detail, self-starter, organized, has the ability to find solutions, determine priorities and meet deadlines.