Vice President, Operations & Compliance

Swim Recruiting; Vancouver; On-site; CAD 100,000 - 200,000; Full time

Benefits offered by this job

Comprehensive benefits package

Job summary

Swim Recruiting in Vancouver seeks a Vice President, Operations & Compliance to own the firm's operational infrastructure and regulatory program, working directly with the CEO in a lean, entrepreneurial environment.

This senior, hands-on role oversees NI 31-103 compliance, fund and investor operations, and relationships with service providers, with broad exposure to risk, governance, and regulatory strategy. Onsite with comprehensive benefits.

Qualifications

• CPA/CFA or LLB/JD required
• 5–10 years of progressive operations or compliance experience in asset management, hedge fund, or private credit
• Experience with Canadian securities regulatory regimes (NI 31-103, CSA)
• Cross-border/canadian-regulatory familiarity is a plus
• High attention to detail and ability to work independently in a small team

Responsibilities

• Support the Chief Compliance Officer function under NI 31-103 and CSA for registered portfolio managers/investment fund managers
• Maintain the compliance manual, code of ethics, personal trading, conflicts-of-interest policies and AML/KYC; conduct periodic testing
• Manage regulatory filings and communications with the BCSC, other CSA members, and SROs, including registrations
• Oversee daily fund operations: trade settlement, cash management, reconciliation, NAV oversight
• Manage due diligence and relationships with service providers (administrator, custodian, auditor, prime broker, counsel)
• Own onboarding of credit instruments and restructuring positions (bank debt, private placements, distressed claims)
• Lead investor operations and support institutional investor due diligence
• Maintain operational risk framework, internal controls, and business continuity; evaluate PM/OMS and compliance tech
• Advise CEO on regulatory strategy and governance; build out operations/compliance team as the firm scales

Skills

Regulatory compliance

Operations management

Asset management experience

Cross-border experience

Attention to detail

Education

CPA or CFA or LLB/JD

CSC/CCOQE/PDO assets

Job description

A senior opportunity to take ownership of operations and compliance within a boutique credit investment firm, working directly with the CEO in a lean team. The role offers broad exposure across regulatory compliance, fund operations, investor operations and key service-provider relationships.

Who- the Company:

A Vancouver-based boutique, deep-value credit asset manager specializing in leveraged finance, high-yield credit, distressed debt and restructuring situations.

What- the Role:

Our Client is seeking a Vice President, Operations & Compliance to own the firm's operational infrastructure and regulatory compliance program - a senior, hands-on role for an experienced asset management professional comfortable working directly with the CEO in a lean, entrepreneurial environment.

• Support the firm's Chief Compliance Officer function under NI 31-103 and CSA requirements for registered portfolio managers/investment fund managers.
• Maintain the compliance manual, code of ethics, personal trading, conflicts-of-interest policies and AML / KYC; conduct periodic testing.
• Manage regulatory filings and communications with the BCSC, other CSA members, and SROs, including registration renewals.
• Oversee daily fund operations - trade settlement, cash management, reconciliation, and NAV oversight with the fund administrator and custodian/prime broker.
• Manage due diligence and relationships with key service providers (administrator, custodian, auditor, prime broker, counsel).
• Own operational onboarding of credit instruments and restructuring positions (bank debt, private placements, distressed claims).
• Lead investor operations (subscriptions, redemptions, capital calls/distributions) and support institutional investor due diligence.
• Maintain the operational risk framework, internal controls, and business continuity plan; evaluate PM/OMS and compliance technology.
• Advise the CEO on regulatory strategy and governance; build out the operations/compliance team as the firm scales.

Who- the Candidate:

• CPA, CFA designation and/or LLB/JD required; CSC, CCOQE, or PDO an asset.
• 5-10 years of progressive operations or compliance experience, ideally at an asset management, hedge fund, or private credit firm.
• Direct experience with Canadian securities regulatory regimes for registered portfolio managers/IFMs; U.S. or cross-border experience an asset.
• Familiarity with credit and fixed-income instruments (bank debt, high-yield, distressed claims) and their operational settlement.
• High attention to detail, sound judgment, and comfort operating independently and hands-on in a small-team environment.

How Much:

$100,000-$200,000 commensurate with experience, plus comprehensive benefits package.

Where:

Based in the company's Vancouver head office. This is an onsite role.