{"id":802936,"url":"https://alion.io/job/objectway-compliance-manager-cco-track","title":"Compliance Manager (CCO Track)","company":{"id":54141,"name":"Objectway","domain":"objectway.com","url":"https://alion.io/company/objectway","size_band":"201-500","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Lever","truth_index":{"grade":"B","score":78,"open_postings":24,"ghost_share":0.292,"stale_share":0,"repost_share":0,"time_to_fill_p50_days":120,"computed_at":"2026-10-12T06:55:09Z"}},"role":"Management","role_family":"Management","seniority":null,"employment_type":"full_time","work_mode":"hybrid","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Toronto, Canada"],"countries":["CA"],"hiring_countries":[],"hiring_countries_total":0,"salary":{"min":140000,"max":155000,"currency":"CAD","period":"year","gross":null,"usd_annual":108597},"salary_estimate":null,"experience_years_min":null,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[{"name":"SharePoint","optional":false}],"status":"live","first_seen_at":"2026-08-10T20:35:04Z","employer_posted_date":"2026-08-10","last_verified_at":"2026-10-12T19:15:56Z","board_verified":true,"closed_at":null,"days_open":62,"trust":{"level":"ok","repost_count":0,"flags":["company_stale"],"days_open":62},"description":"Nest Wealth Asset Management is a regulated Portfolio Manager and Canada’s first robo-adviser establishedin 2014. Ourbusiness is focused on personalization, cost-effectiveness and professional oversight while offering an investment service that is built for those who prefer a hands-off approach: a digital solution developed with a well-structured investment plan that supports our client needs with the creation of an appropriate portfolio of low-cost Exchange Traded Funds (ETFs).\nIn January 2024, Nest Wealth became part of the Objectway Group, combining the strengths of two global fintech leaders to provide innovative solutions spanning the entire wealth and asset management value chain.\nThe Objectway Group is a future-proof technology player with a well-established track record in the financial services industry with over €120 million of consolidated revenue. The Group is a global Top 100 fintech provider (IDC ranking), whose clients include 250+ leading wealth managers, banks, asset managers, fund managers, insurers and outsourcers in more than 15 countries. With over 800 professionals operating from Italy, UK, Belgium, Germany, Switzerland and Canada, the Group serves clients in 4 continents, supporting approximately 100,000 investment professionals to manage more than €1 trillion in assets.\nThe opportunity\nThis position will initially operate at the Compliance Manager level, with the expectation of transitioning to Chief Compliance Officer (CCO) under NI 31-103.\nThe successful candidate will be accountable for establishing, maintaining, and overseeing the firm's compliance system in accordance with National Instrument 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations, applicable provincial securities legislation, and guidance issued by the Canadian Securities Administrators (CSA).\nHired as Compliance Manager, the expectation is that this role will transition to CCO within approximately 6 months of the start date. The CCO serves as the firm's designated compliance officer and works closely with the Ultimate Designated Person (UDP), executive leadership, and business teams to promote a strong culture of compliance, ethical conduct, and investor protection.\nThis role provides independent oversight of the firm's regulatory compliance framework while supporting responsible business growth and operational excellence.\nHow you'll make an impact\nRegulatory Compliance\nServe as the firm's registered Chief Compliance Officer under NI 31-103 \nEstablish and maintain policies and procedures that support compliance with securities legislation \nMonitor the effectiveness of the firm's compliance system and recommend enhancements where appropriate \nEnsure the firm maintains an effective supervisory framework \nAdvise senior management regarding regulatory obligations and emerging regulatory developments \nMaintain ongoing awareness of changes to Canadian securities laws, CSA guidance, and self-regulatory organization requirements, where applicable \n2. Compliance Oversight\nAssess whether the firm's policies and procedures remain adequate and effective \nConduct ongoing compliance monitoring and testing \nIdentify compliance deficiencies and oversee remediation activities \nMaintain records supporting the firm's compliance program \nEscalate material compliance issues to the UDP, executive management, and the Board, as appropriate \n3. Regulatory Reporting\nCoordinate regulatory filings and required reporting obligations \nSupport securities commission compliance reviews and regulatory examinations \nAct as the primary compliance contact for securities regulators \nPrepare compliance reports for senior management and the Board of Directors \n4. Risk Management\nPerform periodic compliance risk assessments \nIdentify emerging regulatory and operational risks \nDevelop action plans to address identified compliance gaps \nMonitor implementation of corrective actions \n5. Lead Key Compliance Functions\nKnow Your Client (KYC) \nKnow Your Product (KYP), where applicable \nSuitability obligations \nConflicts of interest management \nComplaint handling \nClient disclosure requirements \nRecordkeeping requirements \nMarketing and communications review \nPersonal trading policies \nOutsourcing oversight \n6. AML & Financial Crime\nWork closely with the firm's Anti-Money Laundering Compliance Officer (or fulfill both roles where appropriate) \nSupport compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) \nOversee compliance processes relating to client identification, ongoing monitoring, sanctions screening, and suspicious transaction reporting \n7. Training & Culture\nDevelop and deliver compliance training \nPromote a culture of integrity and ethical conduct \nProvide regulatory guidance to employees and leadership \nEnsure employees understand their regulatory responsibilities \n8. Governance\nPartner with the Ultimate Designated Person (UDP) in overseeing the firm's compliance framework \nPresent compliance updates to executive leadership and the Board \nSupport governance committees as required \nProvide independent compliance advice regarding new products, strategic initiatives, and business changes \nWhat you'll bring to the team\nQualified for approval as Chief Compliance Officer (CCO) under NI 31-103 \nSignificant compliance experience within the Canadian securities industry \nStrong knowledge of: National Instrument 31-103, provincial securities legislation, CSA Staff Notices and guidance, Client Focused Reforms, compliance systems and supervisory frameworks \nExperience interacting with Canadian securities regulators\nStrong understanding of governance, enterprise risk management, and internal controls\nExcellent leadership, communication, and stakeholder management skills\nHigh degree of integrity, professionalism, and sound judgment\nIt would be GREAT if you had:\nExperience with Salesforce \nFamiliarity with CRM platforms \nExperience using SharePoint \nExperience working in a high-growth startup or scale-up environment \nWhat you can expect with our interview process:\n30 min “get to know you” interview with our talent team \n60 min “meet the hiring manager” interview \n45 min “leadership interview” with decision makers \nWhy work for us:\nLearning and development stipend to put towards professional development \nComprehensive Compensation & Benefits: A competitive total compensation package that includes variable bonus, health and dental benefits, 3 weeks' vacation, 10 days PTO \nLearning & Development: $1000 L&D stipend to put towards professional development, Lunch & Learn opportunities, continual companywide workshops \nSupport for Growing Families: We welcome new additions with a parental leave top-up program \nA Connected team: Our social committee knows how to bring the fun! Team bonding game nights, workouts, wellness workshops, cooking classes, and more","description_format":"text","description_chars":6888,"description_truncated":false,"requirements":{"experience_years_min":null,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":null,"security_clearance":false,"languages":[]},"benefits":["Parental leave","Professional development"],"hiring_locations":[{"name":"Canada","iso":"CA","kind":"country"}],"hiring_excludes":[],"relocation_offered":false,"industries":["Financial Software & Embedded Finance"],"lifecycle":[{"event":"open","at":"2026-09-12T08:40:12Z"}],"visa":[],"liveness":{"score":58,"band":"ok","label":"Likely open","p_open":1,"p_active":0.801,"p_room":0.72,"age_days":62,"expected_fill_days":120,"reasons":["conf:4","win:mid","crowd:"],"computed_at":"2026-10-12T06:55:09Z"},"pay":{"stated_usd_annual":108597,"is_top_pay":false},"html_url":"https://alion.io/job/objectway-compliance-manager-cco-track","json_url":"https://alion.io/job/objectway-compliance-manager-cco-track.json","meta":{"generated_at":"2026-10-12T20:25:07Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":33123,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-10-13T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.02,"usd":0.002,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":54141},"rest":"https://alion.io/mcp/rest/get_company?id=54141"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Fobjectway-compliance-manager-cco-track"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":1,"usd":0.1},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Fobjectway-compliance-manager-cco-track"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.02,"usd":0.002},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Fobjectway-compliance-manager-cco-track"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/objectway-compliance-manager-cco-track\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Fobjectway-compliance-manager-cco-track"}]}