Chief Compliance Officer

Peakhill Capital
CA - Ontario - Ontario
January 25, 2025

Peakhill Capital is a commercial real estate capital provider with mortgage investments across all real estate asset classes in Canada.
Our equity platform, Peakhill Equity Partners, is an opportunistic equity platform focused on investments in ground up and value-add projects in Canada and the United States.
We are seeking a self-motivated, entrepreneurial and dynamic General Counsel/Chief Compliance Officer to join our executive team.
This is a new, dual role.
The GC/CCO will be responsible for overseeing and managing the compliance functions of the firm, ensuring adherence to regulatory requirements, and maintaining the highest standards of ethical conduct.
Lead the design, implementation, and monitoring of the Company's compliance program to ensure compliance with all North American legal and regulatory, requirements Conduct regular compliance audits and risk assessments to identify and mitigate potential issues.
Review and approve investors' KYC forms, Subscription Agreements, AML and suitability documents, and ensure reporting to demonstrate compliance is produceable.
Supervise registered individuals, leading all aspects of registration and jurisdiction categories.
Monitor registered individuals for KYC, KYP, and suitability compliance with clients.
Preparation and filing of applicable regulatory forms and filings for the firm and its products.
Participate in product reviews, monitor KYP obligations, and provide training.
Assist in implementing and enhancing enterprise risk management frameworks, compliance risk management framework and operational risk management framework Oversee training needs and helps develop training for employees based on gaps identified through the compliance monitoring and testing.
Provides advice and guidance to assigned business/group on implementation of solutions aligned to regulatory risk appetite based on an understanding of business operations and stakeholder needs.
Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.
Builds effective professional relationships with business group, internal/external stakeholders and trust with regulators.
Oversee the Company's application and transition to becoming a registered Investment Fund Manager (IFM) and Portfolio Manager (PM).
Assist with Corporate, Fund-level and deal-level work.
Qualifications Minimum of 5 years of experience in a compliance role within the financial services industry, preferably investment management industry, with at least 2 years in a senior compliance position Strong knowledge of North American securities industry's regulatory compliance practices, procedures and principles applicable to securities legislation and regulation Bachelor's degree in Law, Finance, Business Administration, or a related field; Recognized compliance certificate or equivalent preferred.
In-depth knowledge of Canadian securities laws, Detailed knowledge of consumer protection regulations and related marketing and advertising guidelines.
Proven track record of developing and implementing effective compliance programs Strong analytical, problem-solving, and decision-making skills Excellent communication and interpersonal skills Ability to work independently and as part of a team High level of integrity and ethical standards What's in it for you? Peakhill Capital is comprised of a team of dedicated and entrepreneurial individuals.
We are committed to creating a work culture that thrives on unity - from company outings to innovative team-building challenges, we believe it is important to create opportunities for the team to work together.
Peakhill is committed to ensuring values the well-being of all employees through the following means:
Medical Benefits Dental Coverage Therapy/Counselling Health and Wellness Spending Account RRSP Employee Matching

Read the full job description and apply online on the recuiter's web-site

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