Compliance Officer

About the Role
Interested in building a career in Canadian securities compliance at a growing, technology-driven investment platform? Equivesto's Compliance Officer role is ideal for candidates with a foundation in securities regulation who want hands-on ownership of the compliance program at a registered Exempt Market Dealer. Working directly with the Chief Compliance Officer and Ultimate Designated Person, you will help ensure that Equivesto, its Dealing Representatives, and the offerings made available on the platform meet Canadian securities, anti-money laundering, and privacy requirements. Your role will involve monitoring investor and issuer activity, reviewing KYC and suitability decisions, supporting issuer onboarding reviews, preparing regulatory filings, and keeping Equivesto's policies & procedures current as regulation evolves. You will require a strong understanding of National Instrument 31-103, the prospectus exemptions used in the exempt market, and Canadian AML obligations. Your attention to detail, sound judgment, ability to manage multiple overlapping deadlines, and willingness to take ownership of compliance outcomes will determine your success in this role.
About Equivesto
Equivesto Inc. is the parent company of Equivesto Canada Inc. a Canadian Exempt Market Dealer and online investment platform. Equivesto is an online Canadian private investment platform, that helps Canadians invest into private opportunities like startups, small businesses, private funds, and real estate. As an Exempt Market Dealer, Equivesto is licensed in all 13 provinces and territories of Canada and has the Ontario Securities Commission as it’s lead regulator. Since going live in September 2020, Equivesto has helped Canadian companies raise over $200MM from over 7,500 investors, with over $100MM raised in 2026 alone. As one of few regulated equity crowdfunding platforms in Canada, Equivesto often acts as an entry point for Canadians investing into private opportunities for the first time. This is a responsibility Equivesto takes seriously, and has designed its technology, policies, and procedures to ensure investors are given clear access to information and education about private investments. As an online platform, Equivesto is a technology driven business, and makes ample use of digital technologies to improve internal efficiency and customer experience. Equivesto is one of the largest and most active Exempt Market Dealers in Canada, and continues to grow and expand at a rapid rate.
What will you be doing?
Support the Chief Compliance Officer (CCO) and Ultimate Designated Person (UDP) in administering Equivesto's compliance program as a registered Exempt Market Dealer
Conduct ongoing compliance monitoring and testing, including review of investor client KYC, suitability, eligibility, and investment limit decisions made by Dealing Representatives
Perform trade and transaction reviews to confirm investments comply with prospectus exemption requirements and internal policies
Administer Equivesto's Anti-Money Laundering and Anti-Terrorist Financing program, including identity verification, sanctions and PEP screening, transaction monitoring, and FINTRAC reporting
Support issuer onboarding by reviewing offering documents, marketing materials, and investor communications for regulatory compliance before they are published on the platform
Prepare and file regulatory reports and filings, including Reports of Exempt Distribution and National Registration Database (NRD) updates, within required deadlines
Maintain, update, and help draft Equivesto's policies & procedures to reflect changes in securities regulation and business operations
Receive, investigate, document, and respond to client complaints in accordance with regulatory requirements
Assist with preparation for and responses to regulatory compliance reviews, audits, and information requests
Deliver compliance training to Equivesto staff and Dealing Representatives
Maintain complete and accurate compliance records, logs, and registers (e.g. complaints, conflicts of interest, outside activities, compliance deficiencies)
Handle and manage highly confidential information and client documents in a professional and secure manner at all times;
Prepare regular compliance reports for the CCO, Executive team, and Board of Directors.
What are we looking for?
3+ years of compliance experience at a registered firm in Canada (Exempt Market Dealer, Portfolio Manager, Investment Dealer, Mutual Fund Dealer, or similar);
Undergrad degree (in business, finance, law, or a related field is a bonus but not a requirement);
Working knowledge of Canadian securities regulation, including NI 31-103 and NI 45-106 prospectus exemptions;
Working knowledge of Canadian AML/ATF obligations under the PCMLTFA and FINTRAC guidance;
Completion of the Exempt Market Products Exam, Canadian Securities Course (CSC), or equivalent;
Partners, Directors and Senior Officers Course (PDO) and/or Chief Compliance Officers Qualifying Exam (CCOQE) is a bonus;
CAMS or similar AML designation is a bonus;
Exceptional attention to detail and strong analytical skills;
Effective communication skills, both written and verbal, including the ability to explain regulatory requirements in plain language;
Sound judgment and the confidence to escalate issues and hold firm on compliance requirements;
Self-driven and takes ownership of tasks/responsibilities;
Strong time management skills, including the ability to manage multiple tasks with competing/conflicting priorities and hard regulatory deadlines;
Strong work ethic and willingness to learn;
Team player;
High level of professionalism and integrity;
Knowledge of Microsoft Office 365 Suite, specifically Excel;
Ability to grasp new technology, and
Qualified to work in Canada permanently.
Working Conditions
Full-time Remote
Occasional meetings and events in Toronto/GTA
Bring your own laptop (provided virtual machine)
Expected to have reliable highspeed internet at home
Expected to have a quiet, private environment at home to handle confidential client and regulatory information securely;
Working hours 9-5pm ET, Monday-Friday (Task, not time-oriented role)
Target Start Date: November 30, 2026
Annual Salary: CAD $60,000 - $80,000
Uncapped PTO
Opportunity for upward career growth
This is not a sales role, no commission offered
Equivesto will support you in completing the Partners, Directors and Senior Officers Course (PDO) and Chief Compliance Officers Qualifying Exam (CCOQE), building toward eligibility for a Chief Compliance Officer designation.

Work arrangement
Yes