AVP, Compliance (Internal Controls)

BJRC Recruiting; Toronto; On-site; CAD 110,000 - 170,000; Full time

Job summary

Our Client seeks an Associate Vice President, Compliance to scale the firm's compliance controls and governance. Reporting to the Chief Compliance Officer, you will build, test, and evolve the framework while remaining hands-on in execution.

The role demands strategic thinking with practical, business-oriented implementation in a Canada-based investment management context.

Qualifications

• Background in asset management, investment funds, banking, or financial services.
• Experience in compliance, governance, controls, risk management, or internal audit functions.
• Familiarity with Canadian securities regulation (OSC/CSA) and regulated financial services environments.

Responsibilities

• Enhance and evolve the firm's compliance control framework and governance structure.
• Lead monitoring and testing programs; assess and report on controls effectiveness.
• Collaborate with senior management to drive program maturity and scalable controls.
• Engage with stakeholders and provide clear governance reporting.

Skills

Compliance governance

Risk assessments

Controls testing

Monitoring programs

Regulatory experience (OSC/CSA)

Stakeholder reporting

Job description

Our Client

Our client is an independent Canadian investment management firm focused on investment funds and asset management solutions for advisors and institutional clients. The organization operates across investment fund management, portfolio management, and exempt market activities and is known for its entrepreneurial culture, lean team structure, and hands‑on operating environment.

The Opportunity

Our client is seeking an Associate Vice President, Compliance to join its growing compliance function. Reporting to the Chief Compliance Officer, the role will play a key part in enhancing and evolving the firm’s compliance control framework, monitoring and testing program, and broader governance structure as the business continues to scale.

This is a highly visible individual contributor role suited to someone who can operate strategically while also being hands‑on in execution. The organization is looking for a sophisticated thinker who can independently assess, build, test, and improve compliance controls and processes in a practical, business-oriented way.

Ideal Candidate Profile

The team is open to candidates from a variety of backgrounds, including:Asset management, investment fund, banking, or broader financial services organizationsCompliance, governance, controls, risk management, or internal audit functionsBig Four / advisory firms supporting investment management or regulated financial services clients

Key areas of experience and expertise include:

• Compliance control frameworks and governance
• Risk assessments and controls testing
• Monitoring and surveillance programs
• Program maturity, process improvement, and scalable controls
• Canadian securities regulation and regulated financial services environments (OSC; CSA regulated entity experience)
• Stakeholder engagement and senior management reporting

LI REF# 1681