Senior Associate, Compliance

Best Workplaces in Canada 2020 - 2026 Best Workplaces with Most Trusted Executive Teams 2024 - 2026 Best Workplaces in Financial Services & Insurance 2020 - 2025 Best Workplaces for Mental Wellness 2023 - 2025 Best Workplaces for Giving BackBest Workplaces for InclusionBest Workplaces for Women 2021 Best Workplaces in Ontario 2020Best Workplaces for Professional Development 2025 Best Workplaces for Young Talent 2026

One of Canadas Most Trusted Investment Brands.

AtPicton Mahoney Asset Management (PICTON Investments) being alternative isnt just what we do its who we are.

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

Thinking Alternatively is in Our DNA.

With a team of 207 bold thinkers one-third dedicated solely to investment management we are specialists not generalists. Managing $17.4 billion (as of March 31st 2026) 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 human always approachable.
• Succeed together one investment at a time.

These arent just words. They 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

Our compliance team is currently seeking a Senior Associate Compliance to manage the day-to-day compliance program and lead the charge on various compliance-related matters. Reporting the Compliance Director the role encompasses monitoring overseeing and reporting on all areas of compliance including trading and investment code of ethics and business conduct compliance marketing review financial crime privacy and anti-spam compliance.

The expected base salary for this role is $80000$95000 with the final number depending on your experience skills education and team budget. On top of that youll be eligible for our discretionary bonus program.

At PICTON Investments being employee-owned means we take care of our team and offer opportunities for top performers to participate in our equity ownership program over time. Eligible employees get access to a full benefits package including profit sharing health and wellness coverage life and disability insurance paid time off and holidays learning and development programs and more many of which are fully covered or subsidized by us.

Youll have the opportunity to learn and lead:

• Take ownership of day-to-day compliance activities including trading and investment monitoring programs Code of Ethics oversight and employee training initiatives.
• Support sales practice reviews marketing material oversight client onboarding and firm or individual registration matters ensuring all processes meet regulatory requirements.
• Assist with financial crime monitoring privacy compliance anti-spam regulations and broader regulatory filings and reporting to maintain a strong compliance framework.
• Stay current on regulatory and policy changes provide guidance to internal stakeholders and help prepare the firm for regulatory examinations.
• Collaborate across teams while working independently ensuring accuracy accountability and efficiency in all compliance initiative

What were looking for

• 45 years of experience in the mutual fund or asset management industry with a compliance or regulatory focus.
• Undergraduate degree and completion of the Canadian Securities Course (or equivalent).
• Strong understanding of Canadian securities regulations (NI 31-103 NI 45-106 NI 81-102 NI 81-105) and ability to interpret their impact on business operations.
• Highly detail-oriented with strong analytical research and problem-solving skills and ability to present data clearly to various audiences.
• Self-motivated collaborative and comfortable working in a fast-paced environment.
• Experience with Bloomberg or Charles River is an asset; French language proficiency is a plus.

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:

Manager