Job Description

About Equiton:
Founded in 2015, Equiton is a recognized leader in private equity investments, and we believe all Canadians should be able to responsibly build their wealth through high quality real estate investments. Our exponential growth is a direct outcome of our leadership team understanding how the industry works and how to create long-term wealth through real estate investing. We\xe2\x80\x99ve discovered that finding the right opportunities involves time, experience, and discipline. Our strategy is always forward-looking, anticipating trends and adapting our selection to strengthen our market position, capitalizing on value creation opportunities, and building the most robust portfolio possible for our investors. We attract diverse, exceptionally talented people and create an atmosphere that rewards initiative, independent thinking, and integrity.

About the Position:
The Compliance Officer reports to the General Counsel and Chief Compliance Officer (CCO) and will primarily be responsible for helping maintain the integrity of Equiton by ensuring compliance with all regulatory requirements as well as internal policies and procedures. This position will support the maintenance of the Corporate Compliance Program that ensures adherence to compliance requirements. This role will also develop, implement and update corporate policies to support the Corporate Compliance Program.

Key Functions and Responsibilities:

• Support the administration of the issuer compliance function for Equiton\xe2\x80\x99s exempt market funds and real estate offerings ensuring distribution in compliance with OSC regulations and other provincial regulations governing prospectus exemptions
• Support the administration of the dealer compliance function for Equiton\xe2\x80\x99s Exempt Market Dealer, Portfolio Manager and Investment Fund Manager ensuring compliance with OSC regulations and other provincial regulations
• Help develop and maintain the compliance policies and procedures including related internal controls, training, independent testing, and recordkeeping requirements
• Implement changes to policies, procedures and programs that will serve to improve the organization\'s regulatory compliance.
• Support the development of processes, tools and resources to support compliance initiatives that align with corporate goals and objectives.
• Conduct compliance risk assessments to identify vulnerabilities and implement appropriate corrective and follow-up actions.
• Ensure all appropriate registers, books and records are maintained in good standing and in accordance with legal and regulatory requirements
• Assist in the preparation of responses to and coordination of requests from various regulatory bodies and serve as secondary contact for all regulatory bodies on compliance inquiries
• Support the investigation, evaluation, response and resolution of alleged compliance violations.
• Address general and ad-hoc legal and regulatory queries/projects from internal business stakeholders as needed.
• Provide advice on compliance with Personal Information Protection and Electronic Documents (PIPEDA), Canadian Anti-Spam Legislation
• Review marketing materials, advertising and social media posts;
• Manage registration applications of new sales staff and notices of registration changes on NRD.
• Develop and deliver applicable compliance training and associated materials, including new hire compliance orientation and ongoing employee/management compliance training.
• Review new deals for compliance with KYC and suitability requirements, prospectus exemption requirements and AML requirements
• Review and file exempt distribution reports, offering memorandums, marketing materials, financial statements and other documents with regulators
• Support the maintenance of the corporate archive of legal documents
• Perform other duties as assigned

Required Skills and Abilities:

• Ability to take responsibility and be proactive on new matters
• Excellent verbal and written communication, collaboration, presentation and influencing skills with the ability to communicate effectively with all internal and external stakeholders.
• Ability to review documentation effectively and accurately
• Excellent attention to details and a meticulous eye for identifying inconsistencies and inaccuracies
• Competent user of Microsoft software, in particular Word, PowerPoint, Excel.
• Able to work effectively with individuals at all levels of the organization
• Good understanding of Canadian regulatory environment and requirements.

Education and Experience:

• An undergraduate degree with 3-5 year\xe2\x80\x99s experience working in a compliance role in the financial services industry, preferably with a dealer or portfolio manager
• Familiarity with private equity, exempt market dealer and portfolio management businesses
• CSC or other industry courses a plus
• Legal administrator or law clerk experience a plus

Our Commitment to Diversity, Equity, and Inclusion:
In addition to being dedicated to building a workforce that leverages diverse talent, we are committed to fostering an inclusive and accessible experience where all employees feel valued, respected, and supported. We are an equal opportunity employer that values a culture that reflects and celebrates the diversity of thought, background, and experience. If you require accommodation for any part of the recruitment process (including alternate formats of materials, accessible meeting rooms, etc.), please let us know, so that we will work with you to meet your needs. We thank you for applying, however, only those selected to continue will be contacted.