We have a lot to be proud of at Nicola Wealth. Our sophisticated financial planning, our diversified private investment funds and their exceptional performance, our 98% client retention rate and our award-winning culture, combine to position us as a national leader in wealth management. Recognized as a Best Managed Company and one of Canada’s Top Employers, we are dedicated to upholding our firm’s values through this phase of significant growth.
By bringing together smart, dedicated and supportive colleagues from diverse backgrounds, we deliver extraordinary client service in a values-driven work environment. The collaboration, creativity and entrepreneurial spirit we were founded on provides the opportunity for you to make a real impact and build a rewarding career. We are passionate about our business, our culture and investing deeply in your growth and development to build for the future. If you have this same drive, then let’s talk!
Reporting to the Chief Compliance Officer, the Compliance Manager plays a key role in supporting the firm’s compliance and risk management functions ensuring the organization’s policies and practices align with applicable regulatory requirements. The Compliance Manager will contribute to maintaining a strong culture of compliance, assisting with practical program delivery, operational rigor, and continuous improvement.
Core Responsibilities:- Support the implementation and maintenance of the firm’s compliance program, ensuring alignment with relevant legislation and internal policies.
- Monitor regulatory developments and make recommendations for updating compliance policies and procedures to reflect changes in legislation and best practices.
- Contribute to the development and delivery of compliance training materials for employees across the organization.
- Participate in internal assessments to identify compliance gaps, recommend improvements to strengthen controls and enhance operational efficiency.
- Execute day-to-day compliance operational activities including regulatory reporting, process documentation, and support for regulatory audits by the BCSC, OSC, and FINTRAC etc.
- Identify and implement opportunities to streamline compliance workflows, enhance operational efficiency, and reduce risk exposure.
- Partner cross-functionally to embed practical compliance controls into business processes and support consistent adoption of standards.
- Minimum 5–7 years of experience in compliance or risk management roles within a registered Portfolio Manager, EMD, or IIROC firm or in investment/banking/mutual fund/insurance dealer and/or securities/insurance regulator.
- Undergraduate degree in a related field; industry certifications such as CIM, CFA are assets.
- Knowledge of BCSC, OSC, SEC, Canadian and US legislation and regulation an asset.
- Proficient with MS Office (Office, Excel, Outlook).
- Experience with compliance policy writing.
- Audit, risk management and privacy law knowledge.
This position comes with a competitive base salary hiring range of $90,000 - $110,000, dependent on experience, skills, qualifications and internal equity.
At Nicola Wealth, our people grow our business, delight our clients, and live our values every day. Our comprehensive compensation and benefits package reflects our appreciation for this commitment. Whether it’s participating in our profit sharing and benefit programs on day one, or the opportunity to participate in our share ownership program, our people are able to go beyond a conventional salary and bonus structure. To learn more about our complete package, visit: www.nicolawealth.com/total-rewards.
This role is a current vacancy within Nicola Wealth.
Please include both a cover letter and resume in support of your application. We are an inclusive, equal opportunity employer. For more information about this and other roles: www.nicolawealth.com/careers.
It is our priority to remove barriers to provide equal access to employment. Should you require reasonable accommodation during the recruitment process please contact us at [email protected] and we will work with you to meet your needs. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Nicola Wealth policies.
Thank you for your interest in a career with Nicola Wealth!
Skills Required
- Minimum 5-7 years of experience in compliance or risk management roles
- Undergraduate degree in a related field
- Knowledge of BCSC, OSC, SEC, Canadian and US legislation and regulations
- Experience with compliance policy writing
- Audit, risk management, and privacy law knowledge
What We Do
Nicola Wealth is a full-service Wealth Management firm with offices across Canada. More than a financial planning firm, we offer sophisticated financial advice and investment management to affluent families, foundations and institutions across North America
