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Compliance Consultant

Reference #: cc_-_12-10-21
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Open Date: December 17, 2021
Close Date:
January 31, 2022

BLG Beyond - AUM Law 

AUM Law  is an established Canadian law firm focused on serving securities registrants by advising on a wide range of regulatory compliance.  We support clients in this sector by providing legal advice and services ranging from start-up to initial registration and compliance systems, through to on-going advice on regulatory and business matters that arise in the course of a securities registrant’s life.  We have developed unique service offerings for our clients and focus on providing expert advice in a cost-effective, efficient and forward-looking manner.

We are looking for lawyers with a strong interest in advising our clients in the asset management industry on how to get started, get registered and meet their ongoing obligations as registrants, while growing their business. A service-oriented mindset is vital, as is an interest in helping our clients understand the regulatory landscape.  Experience in this area will be an asset, but not critical. 

AUM Law is part of Borden Ladner Gervais LLP and the BLG Beyond suite of alternative legal services.

We do business differently than the typical Bay Street firm. Many of our clients are entrepreneurs, and so are we. We offer an exciting and challenging work environment, competitive compensation and opportunities for personal and professional growth.  This is an opportunity to get in and experience and help shape the growth of an “alternative” legal service provider, as part of BLG Beyond and AUM Law.

We are looking for

  • A 3-10 year compliance professional with demonstrated experience in the area of securities regulatory compliance and regulation.
  • The ideal candidate will possess an interest in, with some demonstrated experience with the investment industry and a solid understanding of the relevant regulatory and compliance best practices, including knowledge of the Securities Act (Ontario), NI 31-103 and NI 31-109.
  • Working knowledge of specific regulatory risks would be an asset i.e. anti-money laundering, marketing, conflicts of interest and personal trading tracking.
  • The ideal candidate will be a team player with strong analytical, personal, oral and written communication skills, with a service-oriented mind-set to helping our clients.
  • University degree is required, with an accounting, legal (including law clerk), regulatory or compliance background preferred 

We thank all applicants for their interest in this position, however, only applicants selected for an interview will be contacted. AUM Law offers an exciting and challenging work environment, competitive compensation and opportunities for personal and professional growth. AUM Law is an equal opportunity employer and is committed to providing employment accommodations in accordance with the Ontario Human Rights Code and the Accessibility of Ontarians with Disabilities Act. Please advise us if you require an accommodation.