Senior Compliance Manager

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BambooHR

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 2008

👥 HR Tech

☁️ SaaS

🏢 Enterprise

HR Tech • SaaS • Enterprise

BambooHR is a company that specializes in HR software solutions. Its platform helps manage recruiting, onboarding, payroll, and other essential human resources activities, simplifying and improving the processes for businesses of all sizes.

📋 Description

• Manage and coordinate the monitoring and assessment of compliance with applicable Canadian securities laws, investment fund regulations, and internal policies and procedures. • Support the preparation of reporting, recommendations, and strategic compliance updates for the Chief Compliance Officer, Vice President, Legal, Ultimate Designated Person, senior management, and governance committees. • Manage and conduct regular compliance testing and monitoring activities to identify and mitigate regulatory risks. • Track regulatory developments and industry changes, assess business impacts, and recommend necessary updates to policies, procedures, and controls. • Manage portfolio and investment management compliance activities as directed by the CCO, including policy management and the maintenance of internal policies, procedures, guidelines, and related controls. • Identify, investigate, document, and escalate compliance issues and recommend corrective actions where required. • Support and oversee portfolio management and trading compliance activities, including monitoring investment restrictions, conflicts of interest, and trade surveillance programs. • Monitor trading activities and investment management practices to ensure adherence to regulatory requirements and internal controls. • Coordinate preparation for and support regulatory examinations, audits, inspections, and information requests. • Act as a trusted advisor to business teams by providing practical guidance on regulatory requirements, compliance risks, and best practices. • Review marketing, advertising, investor communications, and public-facing materials to ensure compliance with applicable regulations and internal standards. • Support the administration of AML, ATF, sanctions screening, KYC, and financial crime compliance programs. • Support the compliance review and launch of new products, investment vehicles, cross-border offerings, and strategic business initiatives. • Maintain strong working relationships with regulators, external counsel, auditors, fund service providers, and industry participants. • Lead or support special projects and strategic initiatives as assigned by the CCO.

🎯 Requirements

• 6 to 8 years of compliance experience within an investment fund manager, asset manager, wealth manager, dealer, digital asset/crypto firm, or other regulated financial institution. • Advanced knowledge of Canadian securities regulation, including National Instruments applicable to investment fund managers, portfolio managers, exempt market dealers, public investment funds, ETFs, and continuous disclosure requirements. • Experience supporting organizations that operate across multiple regulatory jurisdictions and legal entities, including coordinating compliance programs, regulatory filings, and governance requirements across different countries and regulatory frameworks. • Strong understanding of global regulatory obligations applicable to digital asset, investment management, and financial services businesses, including experience working with foreign regulators, service providers, and legal counsel. • Experience developing, implementing, and maintaining enterprise-wide compliance programs, policies, procedures, controls, monitoring, testing, and regulatory reporting frameworks. • Experience with regulatory registration and licensing requirements, regulatory examinations, audits, inspections, and ongoing regulator engagement. • Familiarity with anti-money laundering (AML), anti-terrorist financing (ATF), sanctions compliance, know-your-client (KYC), and financial crime compliance programs. • Experience reviewing and overseeing marketing, sales, distribution, and client-facing materials for compliance with applicable regulatory requirements. • Strong understanding of portfolio management, trading, investment restrictions, trade surveillance, conflicts of interest management, and investment fund compliance requirements. • Experience supporting new product launches, cross-border offerings, and regulatory approval processes, including coordination with internal stakeholders and external service providers. • Ability to analyze evolving regulatory requirements and translate them into practical business solutions while maintaining a strong compliance culture. • Ability to manage compliance workstreams independently, exercise sound judgment, and escalate issues appropriately to the CCO and senior stakeholders. • Demonstrated experience coordinating cross-functional compliance initiatives with legal, investment, operations, finance, marketing, and external service provider teams. • Proven ability to work collaboratively with executive leadership, legal, investments, finance, business development, and external partners in a fast-paced and highly regulated environment. • Exceptional organizational skills, strong attention to detail, and the ability to manage multiple regulatory initiatives and deadlines simultaneously. • Excellent written and verbal communication skills with the ability to interact effectively with all levels of the organization and present complex regulatory matters in a clear and practical manner.

🏖️ Benefits

• Competitive compensation including discretionary bonus • Unlimited Vacation Days • Remote-first team with a flexible work environment focused on results • Opportunity to work at the forefront of an innovative, fast-growing industry • Collaborative, low-ego culture with a strong execution mindset • Annual company offsites to connect, collaborate, and recharge • Birthdays off to celebrate your day your way! • Supportive parental leave policy designed to prioritize family and well-being