We are a mission-driven team that strives to empower individuals and businesses to pursue meaningful goals, create positive social impact, and drive purpose-led growth. Our innovative solutions help our clients align their business objectives with their values to achieve sustainable success. We are committed to fostering a culture of purpose, inclusion, and continuous learning, where every team member contributes to creating lasting impact.
Who is Advisor Solutions by Purpose?
Advisor Solutions by Purpose, a subsidiary of Purpose Unlimited, is an innovative financial technology firm providing modern client and practice management technology and services for independent portfolio management and financial advisory businesses in Canada. Recognized by Wealth Professional Magazine as 2023 Wealth Tech Service Provider of the Year and one of Canada’s Top 2023 Small and Medium Employers, Advisor Solutions by Purpose’s end-to-end solution simplifies the advisor practice and makes it easier for clients to access better services to achieve their financial goals.
Job Overview:
As the Associate Director, Compliance, Platform Growth & Technology, you will play a pivotal role in enabling prospective wealth firms to transition to independence confidently. Embedded in both the sales pipeline and onboarding journey, you will ensure that compliance is not just a checkpoint—but a strategic advantage. You’ll partner with Chief Compliance Officers (CCOs), product teams, and senior leadership to embed regulatory excellence into every stage of product development and firm integration.
This is a high-impact role for a compliance leader who thrives at the intersection of innovation, regulation, and client enablement.
Key Responsibilities:
- Lead the development and integration of compliance requirements across both tech and non-tech offerings, with a “compliance by design” mindset.
- Partner with product and technology teams to embed compliance into design and delivery processes.
- Collaborate with Chief Compliance Officers to proactively identify and mitigate regulatory risks during onboarding and product development.
- Conduct in-depth reviews of prospective firms, including OSC registration assessments and application support.
- Provide end-to-end compliance consulting to ensure alignment with regulatory standards and readiness for integration.
- Act as a strategic liaison between business goals and regulatory obligations.
- Prioritize and monitor compliance-related projects, ensuring alignment with firm policies and expected outcomes.
- Communicate project status, risks, and compliance deliverables to senior stakeholders.
- Support change management processes to ensure regulatory clarity and stakeholder alignment.
- Bachelor’s degree in Business, Finance, or a related field; relevant compliance certification (e.g., CSC, CCO) is preferred.
- 7+ years of experience in compliance, regulatory affairs, or risk management within the financial services or wealth management sector.
- Strong knowledge of Canadian securities regulations, particularly OSC requirements and IIROC/CSA frameworks.
- Proven experience working with or as a Chief Compliance Officer (CCO) in a regulated environment.
- Demonstrated ability to translate complex regulatory requirements into practical business solutions.
- Experience leading compliance initiatives in product development or onboarding contexts.
- Excellent communication, stakeholder engagement, and project management skills.
- We are one of Canada's Top Small & Medium Employers' 2023, 2024 & 2025. Three times in a row!!!
- We believe in innovation and a vibrant culture - work for an innovative, people-first, financial services firm that values entrepreneurialism.
- We believe in a flexible work structure – A flexible hybrid work model that empowers you to do your best work whether at home or in the office.
- We care about your rewards - Competitive compensation, including an equity program.
- We care about your health – comprehensive group health and dental benefits and life insurance at little to no cost to you. We also offer a Lifestyle Spending Account for all your wellness needs.
- We care about your quality of life - flexible paid time-off policy with unlimited vacation days, and flexible sick and mental health days.
- We care about your family - Paid parental leave for eligible employees with a top-up.
- We care about your future – Generous Group RRSP matching and an optional TFSA program.
- We care about your development – We offer training opportunities and tuition support year-round.
We thank all applicants for their interest; however, only those selected for interviews will be contacted.
Our work philosophy is a hybrid model allowing for flexibility and collaboration.
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