Career Opportunities
Compliance Manager
Description
Location: 1A-510 Weber Street North, Waterloo, ON N2L 4E9
Type: Full-Time | Monday–Friday (9AM to 5PM)
Hybrid Work Schedule – 2 days in office/3 days from home
Compensation: $120,000 –$160,000 per year (we are flexible based on level of experience)
Vacancy Status: Newly created role supporting our continued growth
TriCert Investment Counsel was founded over 25 years ago by two visionary accountants who recognized their clients could be better served by providing a sound, disciplined investment management approach alongside the integration of trusted accounting expertise into financial planning and wealth optimization. Today, we proudly manage over $3 billion in assets on behalf of thousands of clients. Our QSect approach matches a client’s investment profile with a tailored portfolio designed to meet their goals and provide peace of mind through volatile markets.
Seamlessly working with your accountant and financial planner, your portfolio manager takes a holistic view of your financial affairs, aligning your investment plan with your tax and financial plans. Your financial plan’s goals serve as our benchmark to build portfolios that let you sleep soundly, optimize tax efficiency and deliver results.
TriCert Investment Counsel is registered as a Portfolio Manager with the Ontario Securities Commission (OSC) in Ontario, its principal regulator, and with each relevant securities administrator in all other jurisdictions across Canada. TriCert Investment Counsel Inc. is registered as an Investment Fund Manager in Ontario. A proud member of the Portfolio Management Association of Canada.
Taking a holistic view of your financial affairs, together with your tax plan, financial plan, and broader financial landscape, we tailor solutions unique to you. Your financial plan’s goals serve as our benchmark to build portfolios that let you sleep soundly, optimize tax efficiency and deliver results.
We are seeking a detail-oriented and proactive Compliance Manager to join our team. This role reports directly to the Chief Compliance Officer and will play a key role in strengthening TriCert’s regulatory infrastructure, supporting business growth, and ensuring continued excellence in governance and client trust. The successful candidate will act as a trusted advisor to leadership while reinforcing a culture of compliance throughout the organization.
Why join our team?
- Play a key role in strengthening and evolving the compliance framework of a growing $3B AUM firm
- Direct exposure to senior leadership and Board governance
- Opportunity to influence strategy and regulatory best practices
- Flexible hybrid work environment
- Competitive compensation and profit sharing
- Extended health, dental and vision benefits
- 3 weeks of paid vacation + 10 paid sick days
- Professional development support, including paid designations and training
Responsibilities include:
- Partner with the Chief Compliance Officer (“CCO”) to maintain and enhance TriCert’s compliance program in accordance with OSC, FINTRAC, and applicable Canadian securities regulations
- Monitor regulatory developments, implement and ensure applicable updates have been incorporated into the firm’s policies and procedures and communicated to staff
- Analyze investigation outcomes to detect patterns, identify root causes, and recommend corrective actions or policy refinements to mitigate future risk
- Provide timely, expert compliance guidance to staff and external business partners on regulatory obligations, emerging risks, and industry best practices
- Participate in the coordination and delivery of regulatory responses to oversight bodies
- Make recommendations to senior leaders on strategy and new initiatives based on an in-depth understanding of the business and industry landscape
- Develop and maintain clear policies, procedures, service standards, and quality assurance and oversight processes
- Conduct ongoing compliance monitoring, testing, and risk assessments across business lines.
- Prepare executive-level compliance reports and key risk metrics for senior leadership, governance committees, and the Board of Directors
- Oversee supervisory controls, monitoring activities, and risk assessments to ensure alignment with regulatory requirements and TriCert standards
The ideal candidate for this position will have the following qualifications:
- Post-secondary education or equivalent is required. University degree in Business or Accounting is preferred
- Minimum 5–7 years of progressive experience in compliance within Canadian financial services, with strong knowledge of securities regulation, PCMLTFA, and AML/ATF requirements
- Ability to work well in a collaborative team environment, and have clear, effective communication skills
- Able to exercise sound regulatory judgment and decision making while providing strong analytical and practical problem-solving capabilities
- Strong analytical, writing and communication skills
- Manage and monitor multiple projects, be a strong multi-tasker and can exercise sound, informed judgement during time sensitive issues
- Proficient with MS Office including, Word, Excel, PowerPoint and Outlook
Courses and Certifications:
- Successful completion of the Canadian Securities Course (CSC), or willingness to complete within one year of hire
- Completion of Branch Manager course, Conduct and Practices Handbook (CPH) or other AML and securities certifications are a definite asset
- CIM, CFA, or CPA designations are considered an asset
If you are interested in joining a successful and growing organization, we encourage you to submit your resume for consideration.
Candidates selected for an interview will be contacted within legislated timelines.
We are committed to providing a barrier free workplace. If accommodation is required during the selection or interview process, it will be available upon request. This job posting is available in an accessible format upon request.
TriCert Investment Counsel does not use artificial intelligence systems to screen, assess, or select applicants — all hiring decisions are made through human review.
While we appreciate all interest, only those candidates selected for an interview will be contacted.