Senior Manager

Purpose of the Role:

The Senior Manager, Compliance Operations & Interim Privacy Officer provides leadership in the oversight and execution of the firm’s compliance operations and privacy program. As the designated Privacy Officer, on an interim basis, this role coordinates corporate activities with privacy implications and monitors services and systems to ensure meaningful privacy practices. The role also supports and advances a strong firm-wide culture of compliance through practical program delivery, operational rigor, and continuous improvement.

Core Responsibilities:

• Ongoing oversight and delivery of the firm’s privacy program, ensuring privacy policies and procedures remain current and compliant with evolving privacy laws and regulatory expectations.
• Proactively monitor legislative developments, assess organizational impacts, and drive implementation of policy and process updates to mitigate privacy and regulatory risk.
• Ensure firm-wide adherence to privacy legislation and relevant securities regulations, reinforcing accountability and a culture of compliance.
• Serve as a privacy advisor for clients and employees, including managing requests and disputes related to personal information.
• Responsible for the design and delivery of in-house privacy and compliance education across the firm, driving strong completion and engagement.
• Oversee day-to-day compliance operational activities, including delivery of compliance initiatives, process enhancements, and timely regulatory reporting.
• Support the development and continuous improvement of enterprise-wide risk management policies and procedures; conduct internal assessments to identify gaps and strengthen controls.
• Identify and implement opportunities to streamline compliance workflows, enhance operational efficiency, and reduce risk exposure.
• Partner cross-functionally to embed practical compliance controls into business processes and support consistent adoption of standards.
• Manage the firm’s record retention and destruction policies, ensuring alignment with legal, regulatory, and operational requirements.
• Support licensing, registration, and regulatory examination readiness; provide support during regulatory audits. 

Required Skills & Qualifications:

• 6+ years of industry experience in compliance, risk management, and/or privacy within a registered Portfolio Manager, Investment Fund Manager, Exempt Market Dealer, or CIRO member firm. 
• Undergraduate degree in a related field; industry education/certifications (e.g., CIM, CFA, MBA) are assets. 
• Demonstrated experience with compliance policy writing and/or implementation. 
• Strong working knowledge of regulators and applicable regimes (e.g., BCSC, OSC, SEC, FINTRAC, and privacy legislation. 
• Exposure to areas such as FATCA, CRS, CASL, AODA, AML, KYC, Suitability is an asset. 
• Proficiency with MS Office (Outlook, Excel, Word). 
• Audit, risk management, and privacy law knowledge. 

Compensation & Benefits Package:

This position comes with a base salary range of $115,000- $140,000 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.

This role is a current vacancy within Nicola Wealth.