Senior Compliance & Operations Officer

The Company

InvestXwas launched in 2014 with a mission to bring transparency and trust to the private equity market. We are a leading cross-border pre-IPO investor offering access to private equity deals that for many decades were exclusive to a limited investing over US$500 million in investments and 80 portfolio companies we work with leading North American registered firms to offer accredited investors private equity investment opportunities in companies including Open AI Anthropic SpaceX AirbnbSoFi Spotify DocuSignand many more. We have successfully launched multiple SPVs (Special Purpose Vehicles) and diversified funds and are currently investing in our fifth fund.

InvestXis backed by leading financial institutions Jefferies Virtu Financial and Canaccord Genuity and has been featured in CNBC Forbes Bloomberg U.S. News Business Insider Reuters The Globe and Mail and many other publications.

About the Role

We are seeking a Senior Compliance & Operations Officer who brings the combination of regulatory expertise and hands-on operational execution in the private investment industry.

This individual will support and oversee compliance for our Canadian registered Exempt Market Dealer (EMD) Investment Fund Manager (IFM) and Portfolio Manager (PM) while alsocontributing to the operational processes that enable compliant and efficient product launches (SPVs funds) investor onboarding and cross-border deal flow.

You will be a key member of the Legal Compliance & Operations functionsreporting to the CCO (Canada) and will work closely with colleagues across Canada and the U.S.
This is an exciting role for someone who thrives at the intersection of: regulation investment operations client onboarding workflows risk management private markets.

Location: Vancouver BC (Downtown Vancouver hybrid 3 days a week)

Key Responsibilities:

Regulatory Compliance Leadership

• Lead update and monitor the firms full Compliance Program across the EMD IFM and PM entities.

• Translate regulatory requirements (NI 31-103 NI 45-106 NI 81-102 series AML FATCA cross-border rules) into operational processes.

• Conduct ongoing monitoring testing and remediation activities and oversee the Compliance Calendar.

• Manage regulatory correspondence OSC/BCSC annual questionnaires filings audits and examinations.

• Draft the annual CCO report for the Board and create clear insight-driven presentations for senior leadership.

Investor Onboarding & KYC/AML Operations

• Oversee complete onboarding workflows: KYC KYP suitability AML/ATF accredited investor verification subscription documentation.

• Build and enforce scalable processes to ensure accuracy speed and risk mitigation.

• Review and approve investor files subscription agreements disclosures and ongoing suitability assessments.

• Partner with sales operations and fund administration teams to ensure frictionless client experiences.

Product Compliance & SPV/Fund Operations

• Participate in product reviews ensuring accurate KYP assessments for all SPVs funds and portfolio investments.

• Support the operational readiness and compliance components of new deals: internal workflows disclosures offering documentation review conflicts of interest and risk controls.

• Maintain oversight over fund/SPV lifecycle activities (launch capital calls reporting audit coordination).

Marketing Communications & Cross-Border Oversight

• Review and approve marketing materials website updates investor presentations social campaigns and corporate communications for regulatory accuracy.

• Support compliance alignment between Canadian registration requirements and expectations (e.g. broker-dealer/RIA collaboration).

• Serve as a trusted advisor to internal teams on securities laws and regulatory interpretation.

Training Leadership & Internal Enablement

• Supervise and support registered individuals including registration proficiency tracking and ongoing monitoring.

• Deliver firm-wide compliance product and regulatory training.

• Identify emerging regulatory trends analyze impacts and communicate actionable recommendations.

Operations & Continuous Improvement

• A key 2026 project is the implementation of a new fund administration platform. You will be the Canadian compliance subject-matter expert working on reporting client onboarding and other workflows to improve efficiency.

• Partner with cross-functional teams to improve workflows automate compliance processes and eliminate operational bottlenecks.

• Improve data integrity reporting accuracy and documentation standards across all compliance and operational systems.

• Manage internal and external inquiries to support efficient deal flow and investor servicing.

Qualifications

• 5 years of experience in securities compliance investment operations or a hybrid role at an EMD IFM PM broker-dealer fund manager or private markets firm.

• Deep knowledge of Canadian securities regulation (NI 31-103 NI 45-106 NI 81-102 series) and comfort interpreting complex regulatory material.

• Hands-on experience with KYC/AML onboarding suitability assessments workflow oversight and investor documentation.
  Experience with compliance technology or workflow automation tools an asset.

• Demonstrated experience improving or building compliance or operations processes.

• Strong communication skillsable to explain regulatory concepts to business partners and senior leaders.

• High organizational rigour excellent judgment and the ability to manage competing priorities in a fast-paced environment.

• Proficiency with MS365 (Excel SharePoint PowerPoint) as well as co-pilot and other commonly used Ai tools; comfort learning operational tools.

• Eligibility and willingness to travel between the US and Canada to attend occasional meetings.

• A Criminal Record Check and Background check including credit is for this position.

Additional experience that would be ideal:

• Experience supporting SPVs private equity funds or alternative investment vehicles.

• Experience or exposure to working with or supporting U.S. registered entities (broker-dealers RIA).

• Relevant industry education (CSC IFIC CIM PDO CFA Level I CAMS).

Salary & Benefits

• Actual salaries may vary based on factors such as skill experiencelocationand qualifications for therole.

• 2026 range is $98000 - $125000 CAD plus bonus plan and share options.

• Comprehensive Health & Benefit plan including health/lifestyle spending account personal days winter closure days generous paramedicals and ortho.

If this opportunity sounds like it is a good match with your skills background and career direction please apply through our Careers Page ( with your cover letter and resume.

InvestX welcomes applications from all qualified candidates including women persons with disabilities aboriginal peoples Indigenous peoples visible minorities race colour religion sex sexual orientation gender identity or national origin. Reasonable accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Required Experience:

Senior IC