Director, Compliance Operations & Privacy Officer

About Nicola Wealth:

We have a lot to be proud of at Nicola Wealth. Our sophisticated financial planning, our diversified private investment funds and their exceptional performance, our 99% client retention rate and our award-winning culture, combine to position us as a national leader in wealth management. Recognized as a Best Managed Company and one of Canada’s Top Employers, we are dedicated to upholding our firm’s values through this phase of significant growth.

By bringing together smart, dedicated and supportive colleagues from diverse backgrounds, we deliver extraordinary client service in a values-driven work environment. The collaboration, creativity and entrepreneurial spirit we were founded on provides the opportunity for you to make a real impact and build a rewarding career. We are passionate about our business, our culture and investing deeply in your growth and development to build for the future. If you have this same drive, then let’s talk!

Purpose of the Role::

Reporting to the Vice President, General Counsel, this role provides senior-level leadership in the strategic oversight of the firm’s compliance and risk management functions. As the designated Privacy Officer, the Director, Compliance Operations & Privacy Officer is responsible for coordinating all corporate activities with privacy implications, ensuring the firm’s services and systems uphold meaningful privacy practices. This role serves as a key advisor on privacy matters for both clients and employees, manages requests and disputes related to personal information, and champions a culture of compliance across the organization.

Core Responsibilities:

• Provide strategic leadership and oversight of the firm’s Privacy program, and related compliance policies and procedures ensuring policies and procedures remain current and compliant with evolving privacy laws and regulations.
• Proactively monitor legislative developments, assess organizational impact, and drive the implementation of policy updates to mitigate risk and uphold regulatory standards.
• Ensure firm-wide adherence to privacy legislation and securities regulations, fostering a culture of compliance and accountability.
• Lead the design and delivery of comprehensive in-house privacy and compliance education efforts across the firm.
• Support the development and continuous improvement of enterprise-wide risk management policies and procedures. Conduct internal assessments to identify gaps and strengthen controls.
• Manage the firm’s records retention and destruction policies, ensuring alignment with legal, regulatory, and operational requirements.
• Oversee day-to-day compliance activities, including the execution of strategic initiatives, process enhancements, and timely regulatory reporting.
• Identify and implement opportunities to streamline workflows, enhance operational efficiency, and reduce risk exposure.
• Assist with licensing and registration processes and provide support during regulatory audits.
  
  

Required Skills & Qualifications:

• Minimum 10 years industry experience at a registered Portfolio Manager, EMD or IIROC firm.
• Related undergraduate degree. Industry education including CIM, CFA, MBA an asset.
• Compliance experience at a Senior Compliance Officer level or above.
• Knowledge of BCSC, OSC and SEC and privacy legislation an asset.
• Exposure to FATCA, CRS, CASL, AODA, FINTRAC an asset.
• Proficient with MS Office (Office, Excel, Outlook).
• Experience with compliance policy writing and/or implementation.
• Audit, risk management and privacy law knowledge.
• Leadership and supervisory experience and training an asset.
  
  

Compensation & Benefits Package:

This position comes with a base salary range of $155,000 - $175,000 plus a competitive performance bonus, RRSP contribution and participation in our profit-sharing program. Base salary will be commensurate with experience, skills, and qualifications.

At Nicola Wealth, our people grow our business, delight our clients, and live our values every day. Our comprehensive compensation and benefits package reflects our appreciation for this commitment. Whether it’s participating in our profit sharing and benefit programs on day one, or the opportunity to participate in our share ownership program, our people are able to go beyond a conventional salary and bonus structure. To learn more about our complete package, visit: www.nicolawealth.com/total-rewards.

Please include both a cover letter and resume in support of your application. We are an inclusive, equal opportunity employer. For more information about this and other roles: www.nicolawealth.com/careers.

It is our priority to remove barriers to provide equal access to employment. Should you require reasonable accommodation during the recruitment process please contact us at [email protected] and we will work with you to meet your needs. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Nicola Wealth policies.

Thank you for your interest in a career with Nicola Wealth!