Director, SEC Compliance and Regulation

A well-established and highly regarded investment management firm in Canada is seeking a Director of Compliance to support the continued development and oversight of its regulatory compliance framework. Reporting to the Chief Compliance Officer, this role will play a key part in ensuring adherence to both U.S. securities regulations.The successful candidate will be expected to relocate to the Greater Toronto Area contribute to the ongoing development of the firm’s compliance program, oversee monitoring and testing activities, and provide regulatory guidance across the business.Key ResponsibilitiesSupport the development, enhancement, and administration of the firm’s U.S. compliance program while assisting with Canadian regulatory compliance.Develop, maintain, and update compliance policies and procedures to align with evolving regulatory requirements.Conduct monitoring and testing activities to evaluate adherence to regulatory obligations and internal policies.Provide compliance guidance and advisory support across the business, including training initiatives, audit support, and operational projects.Manage regulatory filings, documentation, and communications with external compliance advisors.Monitor regulatory developments in Canada and the U.S. and assess their potential impact on the organization.QualificationsBachelor’s degree required; professional designations such as CPA/CA, CFA, CIM, or JD/LLB are considered an asset.10+ years of compliance experience, ideally within a SEC-regulated environment.Strong understanding of U.S. securities regulatory frameworks, including experience supporting firms registered in both jurisdictions.Demonstrated experience developing and implementing compliance policies and procedures aligned with regulatory expectations.Experience conducting compliance monitoring and testing programs.Strong analytical, problem-solving, and communication skills.Completion of industry compliance courses (e.g., PDO or CCO exam) considered an asset.Bilingualism (French/English) is considered an asset.Strong technical proficiency with common business software and tools.