Senior Compliance Manager (12 Month Contract)

Purpose Unlimitedis an independent financial services company with an unrelenting focus on customer-centric innovation delivered through technology-driven solutions. Led by entrepreneur Som Seif the company is developing a diversified product platform aimed at addressing historically underserved segments of the market. Purpose Unlimiteds businesses include Purpose Investments Advisor Solutions by Purpose and is Advisor Solutions by PurposeAdvisor Solutions by Purpose a subsidiary of Purpose Unlimited is an innovative financial technology firm providing modern client and practice management technology and services for independent portfolio management and financial advisory businesses in Canada. Recognized by Wealth Professional Magazine as 2023 Wealth Tech Service Provider of the Year and one of Canadas Top 2023 Small and Medium Employers Advisor Solutions by Purposes end-to-end solution simplifies the advisor practice and makes it easier for clients to access better services to achieve their financial goals. For more information please visit Investment Management Inc. (Harness) is registered across Canada as a Portfolio Manager and Exempt Market Dealer providing discretionary investment management services to individual and corporate Status:This is for a current :$145000 - $155000Who you are Purpose Unlimited is building a compliance function that matches our ambition: proactive commercially fluent and designed for the regulatory environment of the next decade not the last one. The Senior Manager Compliance is the operational engine of that function. You will own the day-to-day integrity of our compliance program protect the firm against regulatory risk and serve as a trusted advisor to the business translating complex securities law and AML obligations into clear workable guidance. This is not a reactive role. We expect you to identify risk before it surfaces build systems that scale and partner with leadership to ensure compliance is a competitive advantage not a : What you will do/ What you will ownRegulatory Compliance & AdvisoryServe as the compliance advisor to business units on securities regulatory requirements AML obligations and privacy escalations providing timely practical guidance that enables manage regulatory engagement: street sweeps OSC/AMF/BCSC inquiries and all forms of regulatory correspondence with professionalism and against the compliance program for the firms Portfolio Manager and Exempt Market Dealer registrations achieving continuous alignment with NI 31-103 and applicable regulatory Procedures & Risk FrameworksDraft maintain and evolve the firms compliance policies and procedures so that they are accurate accessible and operationally embedded not shelf a consistent integrated risk management framework that enables the business to identify assess and mitigate compliance risk at and operationalize internal controls from policy to practice with clear ownership testing cadences and remediation Calendar & ReportingExecute duties within the compliance calendar: track all regulatory filing deadlines internal review cycles and committee reporting requirements ensuring the firm is always ahead never high-quality materials for Risk Committees and Boards including quarterly and semi-annual compliance reports that are clear evidence-based and compliance technology and AI-assisted tools to automate monitoring workflows flag exceptions and produce reporting with greater speed and Training & GovernanceActively build a risk-aware culture by designing and delivering compliance training that is relevant engaging and retained not checkbox the CCO in governance matters including the escalation of material compliance issues board-level reporting and regulatory relationship opportunities to streamline compliance operations through AI-assisted monitoring automated surveillance and workflow tools that reduce manual burden and increase AI Handles So You Dont Have ToPurpose Unlimited deploys AI tools across our compliance function. You will direct and oversee these tools not perform the work they do. Specifically:Initial drafting of standard compliance communications policy updates and reporting aggregation Compliance calendar tracking deadline alerts and workflow -pass research on regulatory queries and street sweep Only You Can DoExercise judgment in grey-area regulatory situations where the answer is not in a trusted advisory relationships with business leaders who bring you problems before they become regulatory complexity into clear commercially intelligent guidance that enables not obstructs the a culture of compliance that people respect not merely : What you will bring5 years of progressive compliance experience in a Canadian registered firm (Portfolio Manager Exempt Market Dealer or Investment Dealer)Demonstrated knowledge of NI 31-103 CSA rules FINTRAC AML/ATF requirements and PIPEDA/provincial privacy owning regulatory filings compliance reporting and direct engagement with securities ability to draft clear compliance policies and advise the business on complex regulatory should you join usWe are one of Canadas Top Small & Medium Employers 2023 & believe in innovation and a vibrant culture-work for an innovative people-first financial services firm that values believe in a flexible work structureA flexible hybrid work model that empowers you to do your best work whether at home or the care about your rewards-Competitive compensation including equity care about your healthcomprehensive group health and dental benefits and life insurance at little to no cost to you. We also offer a Lifestyle Spending Account for all your wellness care about your quality of life -a flexible paid time-off policy covering vacation sick and mental health care about your family-Paid parental leave for eligible employees with a care about your futureGenerous Group RRSP matching and an optional TFSA care about your developmentWe offer training opportunities and tuition support Solutions by Purposeis an equal employer and we are dedicated to fostering an inclusive and barrier-free work environment for all employees and candidates. We encourage all qualified candidates to apply and if accommodation is required during any stage of the recruitment process please contact any member of the People and Culture team thank all applicants for their interest; however only those selected for interviews will be work philosophy is a hybrid model allowing for flexibility and must be legally entitled to work in Canada. Immigration sponsorship is not offered for this may use artificial intelligence technology to assist in screening assessing or selecting applicants for this position. Final hiring decisions are made by qualified human reviewers.