Job Title

Chief Compliance Officer OceanFrontInvestment Council Inc. Vancouver, BC Full-Time Hybrid 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: deliverdisciplined, client-centredinvestment 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 enjoysoperatingwith 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 broaderobjectives. 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. WhatYoullDo 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 guidancereflectboth 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 firmpolicies Establishdashboards or reporting mechanisms that allow leadership toidentifyemerging compliance risks, documentation gaps, or suitability concerns before they become systemic issues. Approve client-facing communicationsincluding presentations, statements,reports, andand marketing materials for regulatory compliance. Oversee registration andproficiencyrequirements for all registered individuals. Act as the firms primary contact for securities regulators; manage all audit processes,and regulatory filings. Advisetheteamon emerging regulatory developments and risk considerations. Lead firm-wide compliance education andtraining 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 andBoardand that remediation plans are implemented andmonitored. AML & ATF Compliance Serve asAMLCompliance Officer for OFIC, bearing full ownership of AML/ATF program design and maintenancein accordance withFINTRAC 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; overseeidentificationprocess,recordkeepingprotocols, andappropriate reportingobligations whererequired. Deliver staff training and ensure enterprise-wide adherence to AML/ATF obligations. Strategic & Executive Leadership Shapethe enterprise-wide compliance culture,proactively embedding compliance thinking into every corner of the organization. Work closely withthe teamto 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. Identifyand evaluatetechnology, workflows, and processesthatstrengthen complianceoversight,improveefficiency, andsupport scalable supervisory reviewswhile preserving professional judgement for final supervisoryoversight. Deliver clear, authoritative compliance reporting to the Board and executive leadershipon 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 qualificationsrequiredfor CCO approval under NI 31-103. Comprehensive knowledge of NI 31-103including 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 overseeingfirm-wide compliance programsincluding building practical review and monitoring processes supported by tools such as Excel macros, powerqueriesand Microsoft Power Platform solutions (Power Automate, Power Apps). Experience with Dataphile, Salesforce or comparable CRM, d1g1t or comparable portfolio management software. Familiarity withRegTechor AI-assisted compliance tools is a plus. Executive-level leadership presence: the credibility toadvisethe Board, the authority to hold the line, and the judgment to know when to do both. A background in securities law is highly desirable. Compensation & Benefits We offer a compensation package that reflects the executive nature of this role: Base salary: $160,000$220,000,commensuratewith experience and qualifications Performance-based annual bonus 100% employer-funded DeferredProfit SharingPlan (DPSP) Comprehensive group benefits package (health, dental, vision, paramedical) 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:. Check out all our open postings here: During the interview process, candidates are encouraged tosubmita 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.