Executive Leadership $160,000$220,000 Base + Bonus + DPSP + Benefits About OceanFront Investment Counsel OceanFront Investment Counsel Inc. (OFIC) is a Vancouver-based registered Portfolio Manager and Investment Fund Manager with a clear mandate: deliver disciplined, client-centred investment management with uncompromising integrity. We are a firm that takes compliance seriously. Not as an obligation, but as a reflection of our values. As OFIC continues to grow and evolve, we are building an executive team that matches our ambition, and this role is central to that vision. The Opportunity This is an opportunity for a compliance professional who enjoys operating with a high degree of independence and professional ownership. The role is designed for someone who takes initiative, works collaboratively across the organization, and actively engages with advisors, operations, and leadership to ensure compliance processes support the firms broader objectives. It is a dedicated executive compliance position for someone who values the responsibility of shaping a firms compliance program and guiding how regulatory expectations are applied in practice. You will serve as the firms primary liaison to regulators, the authoritative voice on all matters of securities compliance and AML/ATF, and the strategic partner leadership turns to when navigating regulatory complexity. Reporting to the Ultimate Designated Person (UDP) and the Board of Directors, you will lead the compliance function with the confidence that it has the full support of the organization. What Youll Do Securities Compliance Lead the design and ongoing refinement of a comprehensive compliance program fully aligned with NI 31-103 and applicable CSA regulations. Oversee the firms internal compliance review program, including reviews of KYC collection of information, KYP documentation, suitability determinations, disclosure practices, and managing conflicts of interest. Ensure the firms policies, procedures, and internal guidance reflect both the letter and the spirit of securities regulation, translating regulatory principles into practical expectations for advisors and staff. Conduct structured file reviews of registered representatives to assess documentation quality, suitability reasoning, and adherence to firm policies. Establish dashboards or reporting mechanisms that allow leadership to identify emerging compliance risks, documentation gaps, or suitability concerns before they become systemic issues. Approve client-facing communications including presentations, statements, reports, and marketing materials for regulatory compliance. Oversee registration and proficiency requirements for all registered individuals. Act as the firms primary contact for securities regulators; manage all audit processes, and regulatory filings. Advise the team on emerging regulatory developments and risk considerations. Lead firm-wide compliance education and training programs, ensuring registrants understand regulatory expectations and how they apply in practice. Maintain and update the firms compliance manual, policies, and procedures and ensure staff acknowledge and adhere to firm requirements. Ensure material compliance issues are escalated appropriately to the UDP and Board and that remediation plans are implemented and monitored. AML & ATF Compliance Serve as AML Compliance Officer for OFIC, bearing full ownership of AML/ATF program design and maintenance in accordance with FINTRAC and sector-specific requirements. Conduct and document periodic AML risk assessments of the firm and its client base using a risk-based approach (RBA). Monitor suspicious transactions; oversee identification process, recordkeeping protocols, and appropriate reporting obligations where required. Deliver staff training and ensure enterprise-wide adherence to AML/ATF obligations. Strategic & Executive Leadership Shape the enterprise-wide compliance culture, proactively embedding compliance thinking into every corner of the organization. Work closely with the team to ensure regulatory expectations are integrated into everyday business decisions. Lead, mentor, and develop compliance staff; set clear performance goals aligned with regulatory priorities. Provide strategic input on new business initiatives, product development, and enterprise risk management. Facilitate cross-functional collaboration to ensure compliance considerations inform all key decisions. Identify and evaluate technology, workflows, and processes that strengthen compliance oversight, improve efficiency, and support scalable supervisory reviews while preserving professional judgement for final supervisory oversight. Deliver clear, authoritative compliance reporting to the Board and executive leadership on regulatory developments, compliance program effectiveness, and emerging risks. What You Bring Five or more years in a senior compliance role at a registered Portfolio Manager or Investment Fund Manager, with the qualifications required for CCO approval under NI 31-103. Comprehensive knowledge of NI 31-103 including the Client Focused Reforms, and related CSA regulatory initiatives. Strong written and analytical skills. Able to translate complex regulatory requirements into clear, actionable policy. Demonstrated experience designing, implementing, and overseeing firm-wide compliance programs including building practical review and monitoring processes supported by tools such as Excel macros, Power Queries, and Microsoft Power Platform solutions (Power Automate, Power Apps). Experience with Dataphile, Salesforce or comparable CRM, d1g1t or comparable portfolio management software. Familiarity with RegTech or AI-assisted compliance tools is a plus. Executive-level leadership presence: the credibility to advise the Board, the authority to hold the line, and the judgment to know when to do both. A background in securities law is highly desirable. We offer a compensation package that reflects the executive nature of this role: Base salary: $160,000$220,000, commensurate with experience and qualifications. Performance-based annual bonus. 100% employer-funded Deferred Profit Sharing Plan (DPSP). Education reimbursement and paid professional licensing. Equity opportunities (based on eligibility and tenure). Dedicated executive onboarding and structured support for long-term success. A high-performing, collaborative culture where compliance leadership is respected and valued. How to Apply For the compliance professional who has spent a career earning this seat, this is it. Apply now or reach out directly to explore this opportunity: [email protected] During the interview process, candidates are encouraged to submit a resume along with two brief examples of work produced in a compliance leadership role. These samples help us understand how you approach the practice of compliance beyond rule interpretation. Due to the high volume of applications we receive, only those candidates selected for an initial interview will be contacted. We thank all applicants for their interest in the posting. #J-18808-Ljbffr
Job Title
Chief Compliance Officer