Job Description
About the Role
As the Chief Compliance Officer, you will be instrumental in building and enhancing the compliance function at Equiton, ensuring we continue to meet our regulatory obligations while supporting the firm’s growth and innovation. You will oversee compliance across our investment entities and partner with business leaders to embed a culture of integrity, accountability, and risk awareness.
Key Responsibilities
- Provide strategic oversight and leadership of Equiton’s compliance program across all regulated entities, including its exempt market dealer, portfolio manager, and investment fund manager registrations.
- Design, implement, and continually enhance a robust compliance framework, including governance policies, procedures, and internal controls that reflect evolving regulatory expectations and business priorities.
- Oversee all regulatory filings, offering documentation, exempt distributions, and investor communications, ...