Director, Compliance & Operations

B. Riley Farber has been retained to lead a search for a Director, Compliance & Operations for a distinguished boutique investment firm. Our client specializes in crafting bespoke fund solutions tailored to ultra-wealthy Canadian families and family offices. These solutions range from Equities to Fixed Income and also Alternative product solutions. The Role: Are you a financial services professional with expertise in compliance and operations, ready to make your mark in a small, dynamic, and entrepreneurial team? We are conducting a search for a driven, knowledgeable, and organized individual to join our client’s elite team. This role offers a unique blend of responsibilities in compliance and operations, providing you with the opportunity to lead and innovate. You will take the “reins” of compliance and operations with the support of the CEO and wider internal network of professionals at affiliated companies. Our client values innovation, collaboration, and a dedication to outstanding client service. If you’re passionate about making a difference and ready to take your career to the next level, we want to hear from you. What You’ll Do: As the Director, Compliance & Operations, you’ll work closely with the CEO & UDP to shape and maintain a robust compliance framework. You will spearhead the development and administration of the entire compliance program, you’ll oversee crucial elements such as service provider management, regulatory reporting, and conflict of interest mitigation. You will ensure compliance with AML/ATF and Privacy policies, as well as maintain a risk management framework assessing on an annual basis. Additionally, you will also maintain all reporting to the Board of Directors and internal committees. On the operations front, you’ll manage essential tasks, including firm expense and tax payments, insurance renewals, fund documentation structuring, and client service delivery. Additional key responsibilities include overseeing all financial operations including expense and tax management. Delivering exceptional service by addressing and fulfilling client requests. Managing the insurance renewal process. Structuring and maintaining new and existing funds including the creation and structure of fund documentation for new fund launches. About you: To thrive in this role, you should bring:

• Experience: 5-10 years in compliance and operations within the financial services sector, particularly with an IFM/EMD/PM registrant.
• Credentials: Professional designations in related fields such as law, accounting, or CFA/CPA are highly desirable.
• Regulatory Expertise: Comprehensive understanding and application of regulations pertinent to IFM, PM, and EMD businesses, especially in securities and anti-money laundering.
• Mindset: A self-starter with a proactive, “can-do” attitude.
• Team Player: Excellent interpersonal skills and a commitment to enhancing team performance through clear communication and efficient task management.
• Efficiency Advocate: Strong focus on streamlining processes while maintaining high standards of quality. Mindset of continuous improvement.
• Continuous Learning: Keen to learn, grow, and excel in a small entrepreneurial team environment.
• Communication: Superior communication skills, both written and spoken.