Manager, Compliance

PICTON Investments; Toronto; On-site; CAD 110,000 - 120,000; Full time

Benefits offered by this job

Profit sharing

Health and dental benefits

Healthcare spending account

Vacation days 15+

Parental leave top-up

Learning and development reimbursement

Fitness reimbursement

Donation matching

Job summary

Picton Mahoney Asset Management is seeking a knowledgeable, detail-oriented Manager, Compliance to join the Compliance team. You will focus on sales, marketing and distribution compliance, vendor oversight, and key compliance projects, while supporting AML, KYC and KYP programs.

You’ll collaborate with Sales, Marketing, Product, Operations and Technology to provide practical guidance and strengthen our compliance program.

Qualifications

• Post-secondary education in Business, Finance, Commerce, Law or a related field.
• 5+ years of compliance experience in asset management, investment funds, securities or financial services.
• Strong knowledge of Canadian securities regulation for investment-fund managers, portfolio managers and exempt-market dealers.
• Experience in sales, marketing and distribution compliance, including reviewing client-facing materials.
• Practical knowledge of AML, KYC, KYP, suitability, client due diligence and record-keeping.
• Experience leading or supporting cross-functional projects and regulatory change initiatives.
• Strong analytical, project-management and organizational skills, with clear written and verbal communication.
• Sound judgment, integrity, discretion and attention to detail, with a collaborative, proactive mindset.
• Asset: experience managing compliance vendors or technology-enabled processes; relevant securities or compliance courses and designations.

Responsibilities

• Provide day-to-day compliance guidance on sales, marketing and distribution activities.
• Review sales practices requests and marketing materials, including presentations, digital content, campaigns and social media.
• Manage and coordinate compliance vendors, including ongoing requirements, enhancements and issue resolution.
• Support and lead compliance projects, including process improvements, regulatory changes and technology-enabled solutions.
• Support AML and financial crime compliance, including monitoring, escalations and documentation.
• Support KYC requirements, client onboarding and due diligence, and KYP reviews of new products and material product changes.
• Monitor industry and regulatory changes and advise stakeholders on their impact.
• Help develop and implement compliance policies, procedures, controls and training.
• Support compliance monitoring, regulatory filings, management reporting, audits and regulatory reviews.

Skills

Experience

Regulatory knowledge

Analytical skills

Project management

Sales compliance know-how

Education

Post-secondary education in Business/Finance/Commerce/Law

Tools

Vendor management

Job description

One of Canada’s Most Trusted Investment Brands.

At Picton Mahoney Asset Management (PICTON Investments), being alternative isn’t just what we do, it’s who we are.

Founded by industry pioneer David Picton, we’ve spent 20 years challenging conventional wisdom and redefining the investing landscape. As one of Canada’s most trusted investment brands, we are proudly independent, privately run, 100% employee-owned, and deeply committed to delivering results for our clients.

Thinking Alternatively is in Our DNA.

With a team of 250 bold thinkers - one-third dedicated solely to investment management - we are specialists, not generalists. Managing over $20.8 billion (October 31, 2026) for institutional and retail clients, we navigate markets with conviction, resilience, and a forward-thinking approach.

We’re more than investors; we’re innovators. We challenge traditional investment mindsets, constantly pushing the boundaries to achieve our mission: to bring greater certainty to investors.

Our success is built on four guiding principles:

• Redefine the way investors invest.
• Be human, always approachable.
• Succeed together, one investment at a time.

These aren’t just words. They define how we think, how we invest, and how we work.

Now, we’re entering our next chapter. We’re transforming our brand and reshaping the way the world invests. If you think alternatively, embrace an entrepreneurial spirit, and thrive in a dynamic, bureaucracy-free environment, join us and be part of what’s next.

Thriving in Our Entrepreneurial Culture

At PICTON Investments, you’ll thrive in our creative and dynamic workplace, where collaboration and support are at the core of everything we do. At our firm, you’ll have the opportunity to take on significant responsibilities, work in a flexible environment, and tackle challenging projects from the outset. Our culture is designed for ambitious professionals who want to make an immediate impact while continuing to push boundaries and achieve our greater mission. You’ll be empowered with a high level of responsibility, trust, and flexibility, providing an exciting and creative space for you to help reshape how the world views alternative investments. With competitive total rewards, performance-based bonuses, and a clear path for career growth, you’ll have everything you need to develop both now and over the longer term.

The Opportunity

We're looking for a knowledgeable, detail-oriented Manager, Compliance to join our Compliance team, reporting to the Senior Director, Compliance. You will focus on sales, marketing and distribution compliance, vendor oversight and key compliance projects, while supporting the firm's AML, KYC and KYP programs. You'll partner with Sales, Marketing, Product, Operations and Technology to provide timely, practical guidance and strengthen our compliance program.

The base salary for this role is $110,000–$120,000, depending on experience, skills, education and team budget, plus a discretionary bonus. As an employee-owned firm, top performers can participate in our equity ownership program over time. Benefits include profit sharing, extensive health and dental coverage, a healthcare spending account, a minimum of 15 vacation days, parental leave top-up, learning and development reimbursement, fitness reimbursement, and charitable donation matching.

What You Will Do

• Provide day-to-day compliance guidance on sales, marketing and distribution activities.
• Review sales practices requests and marketing materials, including presentations, digital content, campaigns and social media.
• Manage and coordinate compliance vendors, including ongoing requirements, enhancements and issue resolution.
• Support and lead compliance projects, including process improvements, regulatory changes and technology-enabled solutions.
• Support AML and financial crime compliance, including monitoring, escalations and documentation.
• Support KYC requirements, client onboarding and due diligence, and KYP reviews of new products and material product changes.
• Monitor industry and regulatory changes and advise stakeholders on their impact.
• Help develop and implement compliance policies, procedures, controls and training.
• Support compliance monitoring, regulatory filings, management reporting, audits and regulatory reviews.

What You Bring

• Post-secondary education in Business, Finance, Commerce, Law or a related field.
• 5+ years of compliance experience in asset management, investment funds, securities or financial services.
• Strong knowledge of Canadian securities regulation for investment-fund managers, portfolio managers and exempt-market dealers.
• Experience in sales, marketing and distribution compliance, including reviewing client-facing materials.
• Practical knowledge of AML, KYC, KYP, suitability, client due diligence and record-keeping.
• Experience leading or supporting cross-functional projects and regulatory change initiatives.
• Strong analytical, project-management and organizational skills, with clear written and verbal communication.
• Sound judgment, integrity, discretion and attention to detail, with a collaborative, proactive mindset.
• Asset: experience managing compliance vendors or technology-enabled processes; relevant securities or compliance courses and designations.

Our Commitment to Employees

At PICTON Investments, we take pride in enhancing our employees' experiences through a comprehensive suite of exceptional perks and programs. Our benefits include corporate fitness reimbursement and discounts, VersaFi memberships (formerly Women in Capital Markets), PICTON Investment Counseling and portfolio management services, volunteer and charitable donation matching, maternity and parental leave top-up, recognition awards, semi-annual performance bonuses, a generous annual vacation entitlement (minimum of 15 days per year), training and development reimbursement, extensive health and dental benefits, a healthcare spending account, and more.

These offerings are designed to support your career growth, well-being, and overall success. Join us and thrive in an environment that values and invests in you!

Investments is committed to providing an equitable, fair, and accessible work environment for everyone. All hiring and other employment decisions are made without regard to race, colour, creed, religion, sex, disability, gender identity, gender expression, family status, age, language, or national origin. We welcome applications from candidates with diverse experiences from around the world, and Canadian work experience is not required. We are committed to providing an accessible recruitment process, with accommodations available upon request at any stage of the application and selection process. If you require an accommodation to support your participation, please contact Human Resources at [phone] or [e-mail].

Investments does not accept unsolicited resumes, emails, calls, or any other form of communication from third-party recruitment agencies. Any unsolicited outreach, including commercial electronic messages, will neither be acknowledged nor considered.

Please note: We use AI-assisted tools to support parts of our recruitment process, including summarizing interview notes and aligning candidate profiles with job requirements. All decisions are made by our hiring team.