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About the Role

The Associate Director, Compliance is the operational leader of SIFI’s Compliance function, accountable for the day-to-day management, execution, and continuous enhancement of the compliance program for its CIRO-regulated mutual fund dealer activities. This role translates the compliance risk assessment and annual plan into effective monitoring, testing, reporting, remediation, and regulatory support, providing technical leadership and managing Compliance resources.

Responsibilities

Lead the day-to-day operation of the firm’s compliance program and manage execution of the annual compliance plan.
Maintain the compliance risk assessment, compliance calendar and risk-based testing framework.
Establish monitoring methodologies, documentation standards, quality controls and escalation protocols.
Prioritize resources and continually enhance the effectiveness, efficiency and scalability of the compliance function.
Design and oversee risk-based monitoring and testing of compliance and supervisory controls.
Design and oversee risk-based reviews of Operations processes and related controls for compliance.
Review testing results, trends, recurring deficiencies and emerging risks.
Challenge supervisory effectiveness and oversee remediation plans and validation testing.
Escalate material findings, high-risk matters and unresolved issues to the CCO.
Approve the annual review schedule, risk-based scope and testing approach for branch reviews.
Review and approve branch review reports and assess the significance of findings.
Monitor management responses, remediation commitments and overdue actions for branch reviews.
Ensure branch review coverage remains appropriate as the business evolves.
Oversee registration, licensing, NRD administration, onboarding and termination activities.
Review complex registration matters, restrictions and outside activity disclosures.
Oversee the continuing education, proficiency, annual training and attestation programs.
Ensure registration and proficiency records remain complete, accurate and regulator-ready.
Oversee complaint handling, investigations, resolution recommendations and regulatory event assessments.
Review required regulatory notifications, filings and reporting submissions.
Ensure matters are handled consistently, fairly and within applicable requirements.
Escalate material complaints, reportable events and significant conduct concerns to the CCO.
Lead operational preparation for CIRO examinations, regulatory reviews, audits and information requests.
Coordinate document production, response drafting, examination logistics and internal stakeholders.
Oversee deficiency responses, remediation plans and progress reporting for regulatory exams.
Support the CCO in regulator interactions and on material examination matters.
Monitor regulatory developments and conduct impact assessments and gap analyses.
Coordinate implementation of regulatory changes across policies, procedures, controls and business practices.
Maintain compliance policies, guidance and communications and oversee the annual policy review cycle.
Develop and deliver practical training and awareness initiatives.
Prepare clear, decision-useful compliance reporting for senior management and governance forums.
Develop dashboards, metrics and key risk indicators and maintain issue and remediation tracking.
Assist the CCO with annual compliance reporting and other governance materials.
Ensure significant matters are escalated on a timely basis.
Manage and develop Compliance Officer(s) and future compliance resources.
Establish clear goals, priorities, performance expectations and quality standards for the team.
Review work product and provide coaching, feedback and mentorship to the team.
Build team capability, accountability and succession depth.
Advise business leaders on regulatory requirements, compliance risks and practical controls for new initiatives and operational changes.
Provide oversight and guidance across AML, privacy, FATCA/CRS, CASL, marketing and communications, conflicts of interest, personal trading, outside activities, registered plans and estate-related controls.
Act as a constructive and pragmatic business partner while maintaining independent compliance judgment and effective challenge.
Lead the development and ongoing maintenance of the compliance framework supporting the firm’s financial planning offering.
Establish compliance standards for the approved service scope, permitted activities, planner titles and credentials, jurisdictional requirements, client disclosures, fees, conflicts, referrals, privacy and record keeping.
Design risk-based monitoring and testing of financial planning activity, including plan-file reviews, supervision evidence, implementation consistency and remediation.
Oversee controls for planner proficiency, training, continuing education and authorization and assess provincial title-protection requirements.
Assess whether planning information is appropriately reconciled to dealer KYC and whether resulting investment recommendations and actions are consistent with KYP, costs, available alternatives and suitability obligations.
Provide compliance oversight of planning tools, methodologies, assumptions, templates, marketing materials and client communications.
Analyze findings and complaints, identify trends or systemic issues, challenge first-line supervision and escalate material matters to the CCO.
Advise on the compliance implications of new planning services, technology, specialist referrals and changes to the delivery model.
May establish monitoring and testing methodologies, documentation standards, quality controls and escalation protocols consistent with the approved compliance framework.
May assign and prioritize Compliance resources, review and approve routine work product, and require management responses and remediation evidence.
May close routine findings where satisfactory evidence has been obtained and closure is within delegated authority.
Must escalate material non-compliance, actual or potential client harm, systemic or repeat deficiencies, overdue high-risk remediation, potential reportable events, significant conduct concerns and matters requiring CCO or legal judgment.
Does not replace Branch Management’s first-line supervision, make decisions reserved to the CCO, or commit the firm to a regulatory position unless expressly authorized.

Requirements

University degree in business, finance, law, commerce, economics or a related discipline.
5 – 10 or more years of progressive experience in securities compliance, wealth management, mutual funds, banking or another regulated financial services environment.
Direct experience supporting a CIRO-regulated dealer is strongly preferred.
Experience managing regulatory examinations, compliance reviews, remediation programs and complex regulatory matters.
Prior experience leading, supervising or mentoring compliance professionals.
Experience developing or overseeing compliance for financial planning activities or a financial planning service model is considered a strong asset.
Strong knowledge of CIRO Mutual Fund Dealer requirements and applicable Canadian securities legislation.
Deep understanding of KYC, suitability, registration, supervision, complaints and regulatory reporting requirements.
Knowledge of financial planning designations, provincial title-protection frameworks and the interaction between financial planning, KYC, suitability, conflicts, fees, referrals and recordkeeping is considered a strong asset.
Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) are preferred.
Branch Managers Course and additional compliance, risk, audit or governance credentials are assets.
Strong people leadership, coaching and performance management skills.
Excellent regulatory judgment, analytical thinking and problem-solving ability.
Clear, persuasive written and verbal communication, including executive-level reporting.
Ability to influence stakeholders, manage competing priorities and make risk-informed decisions.
Strong project management, organizational and change leadership capabilities.
Comfort using AI tools and data skills beyond Excel, such as SQL, Power Query or Python.
Experience testing or validating automated controls or models.
Applicants must be legally entitled to work in Canada.
Immigration sponsorship is not offered for this role.
May use artificial intelligence technology to assist in screening, assessing, or selecting applicants for this position.

Skills

Compliance program management
Risk assessment
Monitoring and testing
Regulatory reporting
Remediation
Regulatory support
Technical leadership
People management
Program standards
Quality control
Second-line challenge
Branch reviews
Registration and licensing
Complaint handling
Governance reporting
Regulatory examinations
Policy management
Regulatory change implementation
AML
Privacy
FATCA/CRS
CASL
Marketing and communications
Conflicts of interest
Personal trading
Financial planning compliance
AI tools
SQL
Power Query
Python

Location

Canada

Work Type

Hybrid
Full-time

Experience Level

Associate Director
5-10+ years

Education Level

University degree

Salary/Compensations

$145,000 - $165,000

Benefits

Competitive compensation including equity program
Comprehensive group health and dental benefits
Life insurance
Lifestyle Spending Account
Flexible paid time-off policy
Paid parental leave with a top-up
Generous Group RRSP matching
Optional TFSA program
Training opportunities
Tuition support

About the Company

Purpose Unlimited is an independent financial services company with an unrelenting focus on customer-centric innovation, delivered through technology-driven solutions.
Led by entrepreneur Som Seif, the company is developing a diversified product platform aimed at addressing historically underserved segments of the market.
Purpose Unlimited’s businesses include Purpose Investments, Advisor Solutions by Purpose, and Driven.
Steadyhand Investment Funds Inc.'s mission is to help Canadians build their wealth through a better, more human experience.
We are one of Canada's Top Small & Medium Employers' 2023, 2024, 2025 & 2026.
We believe in innovation and a vibrant culture - work for an innovative, people-first, financial services firm that values entrepreneurialism.
We believe in a flexible work structure – A flexible hybrid work model that empowers you to do your best work whether at home or the office.

Equal Opportunity

Purpose Unlimited is an equal opportunity employer and we are dedicated to fostering an inclusive and barrier-free work environment for all employees and candidates.
We encourage all qualified candidates to apply and if accommodation is required during any stage of the recruitment process, please contact any member of the People & Culture team at PeopleCultureTeam@purpose-unlimited.com.
We thank all applicants for their interest; however, only those selected for interviews will be contacted.