Head, Individual Client Group Compliance

Full Time
Location: Calgary AB or Toronto ON

Be Boring. Make Money. is our investment approach but we are anything but dull. We are a diverse passionate team united by our commitment to provide our clients with financial peace of mind and our desire to create one of the best companies in the world. A career with us will be demanding; however the experience will also be dynamic supportive intellectually stimulating and above allmeaningful. We take pride in doing things a little differently than other investment firms. Innovative ideas diverse opinions and experiences and teamwork are expected and rewarded regardless of title or tenure.

Dedicated to our people we have consistently been recognized as a preferred employer receiving awards such as Canadas Top 100 Employers (2025) Alberta Top Employers (2025) and Canadas Top Small & Medium Employer (2025).

The Opportunity

To act as a trusted business partner to our Individual Client Group business by providing and maintaining compliance for business development onboarding and client relationship management provide ongoing training staying up to date and in compliance with the applicable regulations reporting activities for Canadian and US clients and a strong contributing member of the Legal Risk and Compliance team.

Role Responsibilities

• Proactively provide compliance advice consultation and training on regulatory matters
• Lead compliance supervision and monitoring of the Individual Client Group business segment
• Individual Client Group compliance program development and operation including ongoing enhancements to policy procedures disclosures and account documentation
• Anticipate and identify the consequences of unaddressed risks/compliance gaps and recommend the implementation of the appropriate controls
• Lead and coach a small team providing career development and support
• Review business development activities and approve marketing and prospecting collateral
• Contribute to the development and enhancements to the AML and privacy programs
• Perform trade supervision of Individual Client Group clients using SimCorp Dimension and in-house tools
• Assist with Canadian regulatory filings including desk reviews sweeps and exams
• Assist in the development and production of internal reports including those to the Board
• Conduct electronic communications monitoring and testing
• Review client onboarding/change documentation in a timely manner
• Interpret new and updated regulatory/compliance requirements related to investment management activities and develop/update the applicable policies and procedures within required timelines
• Support the Legal Risk & Compliance team overall and provide back-up for the other members of the team

Desired Qualifications

• Minimum 8 - 10 years experience in compliance preferably at a portfolio manager/investment manager/exempt market dealer firm in Canada
• University degree in any of the following: finance accounting economics mathematics or other relevant specialization
• CFA or progress towards the charter would be an asset
• Experience with pre-trade compliance monitoring in order management systems such as SimCorp Dimension or Charles River
• Experience with Salesforce Global Relay World Check and NRD
• Deep working knowledge and understanding of the securities regulations in Canada including the applicable national instruments AML and Privacy regulations
• Proven competencies in data analysis of security and issuer data
• Strong understanding of investment operations and trading activities (e.g. trade execution and settlement)
• Demonstrates project management critical thinking interpersonal and communication skills
• Ability to interpret new regulatory requirements and implement changes to business processes
• Ability to work independently think critically multi-task and make decisions in a fast-paced environment
• Experience with leading a team
• Strong organization and prioritization skills with exceptional attention to detail
• Ability to focus independently and also contribute effectively as part of a team

Why Mawer

• Directly contribute to the firms growth as a global independent investment manager.
• Learn and work within a high-performing team that has consistently delivered exceptional long-term investment results and high levels of client satisfaction.
• Be a part of a meritocracy in which the quality of ideas supersedes hierarchy; where every role is valued and every voice heard. At Mawer talented team members can progress quickly regardless of tenure or experience.
• Our unique culture which is integral to who we are and (we think) a competitive advantage. Our culture is shaped by our core values (integrity putting clients interests first excellence teamwork and long-term thinking) and key behaviours (curiosity candour accountability and appreciation) which are much more than words on a page. They guide the way we operate make decisions and communicate every day.
• We offer a flexible work environment with a blended workplace approach tailored to the unique needs of each department and team. This allows employees to seamlessly combine in-person and remote work experiences fostering collaboration promoting work-life integration and empowering our team members to thrive in a dynamic interconnected professional setting.

Our Benefits and Perks Include:

• Comprehensive health and wellness benefits
• Unlimited vacation days
• Retirement planning assistance including RSP contributions
• Annual learning stipend
• Parental leave top-up
• Significant community investment contribution via our Employee Matching Program

To apply please submit your resume cover letter and application by August 12^th 2025 at: candidates must be eligible to work in Canada. Only applications that include all required materials will be considered.

At Mawer we are committed to fostering a culture of diversity and inclusion. We strive to attract hire develop and retain the best people from a wide variety of backgrounds/experiences and create an environment where unique ideas and perspectives are heard and valued. We believe a diverse and inclusive culture fuels innovation and enables more effective decision-making across the firm helping to improve investment performance strengthen client partnerships and create more value for all stakeholders: clients employees owners and society.

We administer all practices and programs without discrimination and strive to provide equal access to employment. A Human Resources representative will work with applicants who request accommodation or special assistance during the application process. If you need accommodation or assistance please contact us at .

We believe experience comes in many forms and were committed to adding new perspectives to our team. If your experience is close to what weve outlined we encourage you to apply.

About Mawer

Established in 1974 Mawer Investment Management Ltd. is an independent firm that provides world-class global investment management services to a broad range of institutional and individual clients. We are proud of our reputation as one of Canadas most respected investment management firms and strive to earn such respect by continually delivering long-term investment excellence developing strong client partnerships and living our core values.

No telephone inquiries please.
We thank all applicants and advise that only those selected for an interview will be contacted.