Chief Compliance Officer

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One of Canadas Most Trusted Investment Brands.

At Picton Mahoney Asset Management (PICTON Investments) being alternative isnt just what we doits who we are.

Founded by industry pioneer David Picton weve spent 20 years challenging conventional wisdom and redefining the investing landscape. As one of Canadas most trusted investment brands we are proudly independentprivately run 100% employee-owned and deeply committed to delivering results for our clients.

Thinking Alternatively is in Our DNA.

With a team of 203 bold thinkersone-third dedicated solely to investment managementwe are specialists not generalists. Managing $16.5 billion for institutional and retail clients we navigate markets with conviction resilience and a forward-thinking approach.

Were more than investors were innovators. We challenge traditional investment mindsets constantly pushing the boundaries to achieve our mission: To bring greater certainty to investors.

Our success is built on four guiding principles:

• Treat investors money like our own.
• Redefine the way investors invest.
• Be humanalways approachable.
• Succeed together one investment at a time.

These arent just wordsthey define how we think how we invest and how we work.

Now were entering our next chapter. Were transforming our brand and reshaping the way the world invests. If you think alternatively embrace an entrepreneurial spirit and thrive in a dynamic bureaucracy-free environment join us and be part of whats next.

Thriving in Our Entrepreneurial Culture

AtPICTON Investments youll thrive in our creative and dynamic workplace where collaboration and support are at the core of everything we do. At our firm youll have the opportunity to take on significant responsibilities work in a flexible environment and tackle challenging projects from the outset. Our culture is designed for ambitious professionals who want to make an immediate impact while continuing to push boundaries and achieve our greater mission. Youll be empowered with a high level of responsibility trust and flexibility providing an exciting and creative space for you to help reshape how the world views alternative investments. With competitive total rewards performance-based bonuses and a clear path for career growth youll have everything you need to develop both now and over the longer term.

The Opportunity

Were currently looking for a Chief Compliance Officer (CCO) to lead our enterprise-wide compliance program and champion a firmwide culture of this role youll set strategy oversee policy and ensure our operations meet the highest regulatory standards across Canadian securities regulators and the U.S. SEC. Youll guide an experienced inhouse compliance team partner with leaders across the firm and empower our people through practical training and clear timely communication.

Youll bring confident leadership meticulous execution and sound judgment to a role that sits at the center of our fiduciary promise to clients. If youre analytical collaborative and energized by building systems that stand up to scrutiny this is your opportunity to make an immediate impactand help shape how we deliver compliant performance day in and day out.

Youll have the opportunity to learn and lead:

• Provide overall strategy leadership and direction to the compliance functionfostering a proactive firmwide culture of compliance grounded in ethical conduct.
• Lead all aspects of the compliance program ensuring adherence to relevant provincial and national securities laws and regulations
• Oversee AML / ATF programs in compliance with Canadian and cross-border standards (designated CAMLO)
• Implement and maintain privacy program (designated local Privacy Officer).
• Act as the primary liaison with the OSC CSA members and other provincial regulators; coordinate regulatory filings and manage responses to examinations or inquiries.
• Monitor and interpret regulatory developments across all Canadian provinces and applicable US requirements and advise senior leadership on implications.
• Establish maintain and continuously improve the firms Compliance Manual policies and proceduresensuring they meet company standards and evolving industry regulations.
• Oversee adherence to compliancerelated policies (including the Code of Ethics & Conduct) assess outside activities and manage conflictofinterest disclosures.
• Design and deliver engaging training for staff and leaderstranslating complex rules into practical daytoday behaviours.
• Build and execute regular assessments to test control effectiveness; contribute to the firms risk management program and relevant committees with clear recommendations.
• Identify and implement compliance frameworks for new initiatives and projects.
• Consult with outside counsel as needed; collaborate closely with business leaders to enable strategy while safeguarding regulatory compliance.
• Prepare and submit regular compliance reports to Senior Leadership Committee and the Ultimate Designated Personsurfacing issues early and proposing actionable solutions.
• Ensure compliance with client statements of investment policies and investment restrictions and all applicable regulatory requirements.
• Identify potential issues before they surface; implement corrective actions that strengthen processes documentation and accountability.
• Work closely with legal operations investment technology and other teams to embed compliance into all aspects of the business.

What were looking for

• Proven ability to partner effectively across the firm with leaders and teams to execute strategic projects and priorities while ensuring alignment with compliance and regulatory best practices.
• 10 years in investmentindustry senior compliance roles (portfolio managers investment fund managers exempt market dealers commodity trading managers)
• Previous registration as a CCO or completion of courses/qualifications required to register as a CCO with securities authorities (e.g. Chief Compliance Officers Qualifying Exam Partners Directors and Senior Officers (PDO/PDSO) courses or equivalent).
• CFA Charter or professional designation as a lawyer CA CGA or CMA
• Extensive knowledge of Canadian securities legislation; familiarity with core instruments such as NI 31103 NI 45106 NI 81102 NI 81105 NI 81-107.
• Working understanding of SEC requirements is a strong asset.
• Strong knowledge of equity fixed income derivatives and investment funds; able to translate portfolio realities into practical compliance controls.
• Exceptional coaching skills; demonstrated ability to earn and maintain the confidence of senior management.
• High attention to detail under pressure; a track record of timely communication and wellreasoned recommendations.
• Ability to work across teams and levelsinternally and with external partners/regulators.
• Highly analytical curious and selfmotivatedwith an entrepreneurial spirit that balances innovation and control.

Our Commitment to Employees

AtPICTON Investments we take pride in enhancing our employees experiences through a comprehensive suite of exceptional perks and programs. Our benefits include corporate fitness reimbursement and discounts VersaFi memberships (formerly Women in Capital Markets) Picton investment counseling and portfolio management services volunteer and charitable donation matching maternity and parental leave top-up recognition awards semi-annual performance bonuses a generous annual vacation entitlement (minimum of 15 days per year) training and development reimbursement extensive health and dental benefits a healthcare spending account and more.

These offerings are designed to support your career growth well-being and overall success. Join us and thrive in an environment that values and invests in you!

PICTON Investmentsis committed to providing an equitable and fair work environment for everyone and all hiring and other personnel actions will be taken without regard to race colour creed religion sex disability gender identity gender expression family status age language or national origin. We welcome applications from candidates with diverse experiences globally. Canadian experience is not required. If you require an accommodation at any point in time throughout the application and hiring process please contact Human Resources at or at.

PICTON Investmentsdoes not accept unsolicited resumes emails calls or any other form of communication from third-party recruitment agencies. Any unsolicited outreach including commercial electronic messages will neither be acknowledged nor considered.

Please note: We use AI-assisted tools to support parts of our recruitment process including summarizing interview notes and aligning candidate profiles with job requirements. All decisions are made by our hiring team.

Required Experience:

Chief