HR à la carte

Position 

Manager, Compliance 

Location 

Toronto, ON 

Employment Type: New, Full-Time Permanent position 

Salary: $110K - $130K annually plus incentive compensation 

Are you a self-starter with an entrepreneurial spirit and want to be part of one of Canada’s fastest-growing exchange traded fund (“ETF”) providers? Do you thrive on wearing multiple hats and being a key contributor to nurturing a culture of compliance within the firm? 

Hamilton ETFs offers: 

• A competitive compensation package including comprehensive health and wellness benefits; 

• Collaboration, open-mindedness and service-focused mindsets; 

• Diverse and inspiring colleagues and approachable leaders; 

• Opportunity to evolve in a growing firm. 

Here’s a bit about Hamilton ETFs: 
Hamilton ETFs is one of Canada’s fastest growing exchange traded funds (“ETF”) providers. Based in Toronto’s financial district and with ~$14 billion in ETF assets under management, we are seeking a motivated individual to join our entrepreneurial team of experienced and talented professionals.  

Here’s what you will do as Manager, Compliance:  

Working closely with the Chief Compliance Officer and Compliance team, you will play a key role in the day-to-day operation, enforcement, and ongoing enhancement of the firm’s compliance program and provide practical, risk-based guidance across the business. You will review sales communications and marketing materials to ensure compliance, support regulatory filings and examinations, monitor and assess regulatory developments, and help translate regulatory requirements into clear internal policies and procedures. This role requires sound judgment, strong attention to detail, and the ability to partner effectively with sales, marketing, and operations while maintaining a firm and thoughtful compliance perspective. 

The Manager, Compliance is expected to lead and/or support the following key responsibilities: 

• Support the design, implementation, and ongoing maintenance of the firm’s compliance program in accordance with applicable Canadian securities laws and regulatory guidance 

• Monitor regulatory developments (CSA, OSC, etc.) and assist in assessing potential impacts to the firm’s policies, procedures, and practices 

• Assist with regulatory examinations 

• Provide support to compliance leadership, including coverage as appropriate 

• Review sales communications, marketing materials, digital content, and promotional initiatives 

• Review and oversee outside business activities (OBAs), gifts & entertainment reporting, and employee personal trading matters 

• Monitor and review portfolio transactions within the investment funds 

• Review investment fund constating and continuous disclosure documents 

• Conduct internal audits, risk assessments and compliance testing for adherence with policies and internal controls 

• Develop and deliver compliance training to staff as needed 

• Participate in meetings and communications with the Independent Review Committee (“IRC”), in addressing potential conflict of interest matters as they may arise 

• Participate in the review of the management reports of fund performance 

• Monitor sales-related expenses and business promotion activity (including sponsorships and events) to ensure compliance with NI 81-105 and internal policies 

Here’s what you’ll need to be successful:  

• Bachelor’s degree in business, finance or a related field; 

• 5+ years of experience in a compliance environment for an ETF, mutual fund issuer or relevant experience at a Canadian Asset Manager (IFM/PM) 

• Working knowledge of securities regulations (including National Instruments 81-102, 81-105, 81-106 and 81-107)  

• Knowledgeable and proficient use of computer programs, Excel, PowerPoint, and Word 

• Strong written and verbal communication skills 

• Exceptional organizational, communication, and analytical skills 

• A team-oriented mindset, with an interest and aptitude to add value outside of core responsibilities 

Interested in being a part of Hamilton ETFs?  We look forward to your application!  

Hamilton ETFs is committed to meeting the accessibility needs of all applicants throughout the recruiting and selection process.  Please let us know about any accommodation and/or support requirements. Please note only those candidates selected for an interview will be contacted.    

Hamilton ETFs is working in partnership with HR à la carte for our recruitment efforts.  

Please note we are only accepting applications from those authorized to work in Canada and we are not currently sponsoring any temporary or permanent work visas.  

Use of AI in Hiring: Some stages of our recruitment process may use AI-assisted tools to support recruitment efforts; however, all applications are screened and assessed by human reviewers.  In addition, all final hiring decisions are made by humans.