FAX Capital Corp. - Chief Compliance Officer - Toronto - Toronto

  • 7+ years experience
  • In-house
  • FAX Capital Corp.
  • Toronto, Ontario, Canada

FAX Capital Corp. (FAX) was founded in 2018 as a permanent capital investment vehicle to take advantage of high-quality opportunities and dislocations in the small and medium-size enterprise (SME) market within North America. Their investment focus aims to acquire a concentrated portfolio of public and private securities, typically seeking significant minority and/or control positions in the business in which they invest.

Headquartered in Toronto, FAX is now preparing to launch one or more private investment funds for both retail as well as institutional and high net worth investors. FAX is seeking a qualified Chief Compliance Officer to support the company in maintaining the necessary regulatory registrations to meet its business objectives and support its legal needs. Reporting directly to the Co-CEOs and supported by the General Counsel, the successful candidate will promote a culture of compliance and fiduciary responsibility within the company. Duties will include, but not be limited to: developing, maintaining and overseeing enforcement of various policies and procedures to ensure compliance with applicable securities laws and regulatory requirements; overseeing investor onboarding and reviewing suitability of investments; overseeing and supervising registered employees on the National Registration Database; reviewing and approving marketing materials to ensure compliance; acting as the designated anti-money laundering officer responsible for compliance and training required under the anti-money laundering legislation; acting as legal counsel in supporting the company’s GC with portfolio transactions, including M&A and structured public company investments; and assisting with corporate securities matters.

The ideal candidate will have a minimum of 7 years of relevant experience as a Chief Compliance Officer or as a Compliance Officer and must possess the necessary qualifications to meet the OSC requirements for CCO registration, and a willingness to be registered as such. A strong understanding of securities regulation as it relates to the investment fund industry would be considered an asset. In addition, experience or exposure to corporate, securities, transactions and/or general commercial law gained from a law firm or in house environment would be of value.

Competitive compensation, additional support for future career development opportunities and a collaborative team are among the many highlights that this opportunity offers. If you possess the requisite skill-set, please contact in complete confidence Whitney Borins or Adam Lepofsky (both Canadian qualified lawyers) at RainMaker Group.

whitneyb@rainmakergroup.ca | adaml@rainmakergroup.ca

As this is an exclusive engagement with RainMaker Group, any resumes sent directly to FAX Capital Corp. will be re-directed to RainMaker Group. We thank all applicants for their interest, however, only those selected for an interview will be contacted.

This position has been filled

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