ETF & Registered Funds Compliance Officer, VP

ResponsibilitiesStay current on regulatory frameworks relevant to pooled investment vehicles and advisory businesses, and apply that knowledge in day-to-day compliance activities.Track and interpret regulatory developments, assessing their potential impact on investment products, operations, and risk management practices.Develop, implement, and maintain compliance programs for investment entities and advisory operations, ensuring alignment with applicable rules and internal standards.Provide guidance and support on compliance matters related to new and existing investment products, identifying risks and recommending practical solutions.Partner with internal teams such as product development, portfolio management, and operations to advise on structure, strategy, and disclosures.Support the launch and ongoing management of investment products, from early planning through implementation and post-launch oversight.Translate regulatory expectations and governing documents into clear internal policies, procedures, and controls.Oversee product-level compliance requirements, including monitoring disclosures, reporting obligations, and regulatory submissions.Conduct trade and portfolio compliance reviews, including guideline monitoring and issue resolution.Contribute to oversight of trading practices and governance frameworks to promote fair and effective execution.Perform periodic compliance testing, reporting, and follow-up on identified issues to ensure timely resolution.Coordinate due diligence and ongoing oversight of external service providers and key partners.