Purpose/Objective:

We are looking for a Vice President, Compliance to join our dynamic team in the Canadian and Global ETF Market.  This is an opportunity to join Canada’s most innovative ETF provider.

An important member of the Horizons ETFs compliance team, the successful candidate will be responsible for enhancing the firm’s compliance program. The right person for this role is a proven leader with extensive investment funds experience, and is an excellent communicator. This role collaborates closely with every department in the firm to foster and maintain a culture of compliance.

Key Responsibilities include:

• Sharing responsibility for managing the firm’s compliance with securities legislation, as well as compliance with internal policies and procedures.
• Implement and maintain policies and procedures for assessing the compliance of the firm and those acting on its behalf.
• Take a commercial and pragmatic approach to managing compliance risk.
• Participate in the creation of a compliance plan, and participation in the oversight and support of activities (including portfolio management activities) to ensure compliance and take remedial action when necessary.
• Maintain a high level of awareness and knowledge of regulatory compliance developments and industry best practices to provide ongoing and proactive support to the business in relation to new and existing products and business initiatives.
• Ensure issues are escalated to the appropriate stakeholders, including to the Chief Compliance Officer.
• Oversee and contribute to the compliance team’s review and monitoring of sales and marketing materials, sales practices and investment management.
• Strong working knowledge of NI 31-103, NI 81-102 and NI 81-105.
• Participate in the compliance reporting to the board of directors and Independent Review Committee.
• Timely and accurate submission of regulatory reporting and filings, including requests from regulators.
• Collaborate with compliance departments throughout the Mirae Asset global ETF business.

Skills & Experience:

• Experience  in a senior position of the compliance department of an investment fund manager.
• Compliance experience with an ETF manager is an asset.
• Compliance experience pertaining to investment management compliance.
• Proactive leader with ability to organize, prioritize and manage multiple responsibilities to multiple stakeholders simultaneously in a deadline and data driven environment.
• Highly effective in forging working relationships with team members, senior leaders and external partners.

Apply on LinkedIn Here

Horizons ETFs is an equal opportunity employer, and is committed to providing a respectful, welcoming and accessible environment for all people. All employment decisions at Horizons ETFs are based on business needs, job requirements and individual qualifications, without regard to sexual orientation, gender identity, race, religion, color, age, marital status or disabilities. We welcome and encourage applications from people with disabilities. During the hiring process, for those job applicants selected for interviews, any required accommodation will be provided. If the successful candidate requires accommodations, an individual accommodation plan will be established and the proper adjustments will be made to support them.