Director, Compliance

Best Workplaces™ in Canada 2020 - 2025 | Best Workplaces™ with Most Trusted Executive Teams 2024, 2025 | Best Workplaces™ in Financial Services & Insurance 2020 - 2025 | Best Workplaces™ for Mental Wellness 2023 - 2025 | Best Workplaces™ for Giving Back 2022, 2024 | Best Workplaces™ for Inclusion™ 2021, 2024 | Best Workplaces™ for Women 2021 | Best Workplaces™ in Ontario™ 2020, 2021, 2024 | 2025 Best Workplaces™ for Professional Development

One of Canada’s Most Trusted Investment Brands.

At Picton Mahoney Asset Management (PICTON Investments), being alternative isn’t just what we do—it’s who we are.

Founded by industry pioneer David Picton, we’ve spent 20 years challenging conventional wisdom and redefining the investing landscape. As one of Canada’s most trusted investment brands, we are proudly independent—privately run, 100% employee-owned, and deeply committed to delivering results for our clients.

Thinking Alternatively is in Our DNA. 

With a team of 207 bold thinkers—one-third dedicated solely to investment management—we are specialists, not generalists. Managing $16.6 billion (as of December 31, 2025) for institutional and retail clients, we navigate markets with conviction, resilience, and a forward-thinking approach.

We’re more than investors — we’re innovators. We challenge traditional investment mindsets, constantly pushing the boundaries to achieve our mission: To bring greater certainty to investors.

Our success is built on four guiding principles:

• Treat investors’ money like our own.
• Redefine the way investors invest.
• Be human—always approachable.
• Succeed together, one investment at a time.

These aren’t just words—they define how we think, how we invest, and how we work. 

Now, we’re entering our next chapter. We’re transforming our brand and reshaping the way the world invests. If you think alternatively, embrace an entrepreneurial spirit, and thrive in a dynamic, bureaucracy-free environment, join us and be part of what’s next.

Thriving in Our Entrepreneurial Culture

At PICTON Investments, you’ll thrive in our creative and dynamic workplace, where collaboration and support are at the core of everything we do. At our firm, you’ll have the opportunity to take on significant responsibilities, work in a flexible environment, and tackle challenging projects from the outset. Our culture is designed for ambitious professionals who want to make an immediate impact while continuing to push boundaries and achieve our greater mission. You’ll be empowered with a high level of responsibility, trust, and flexibility, providing an exciting and creative space for you to help reshape how the world views alternative investments. With competitive total rewards, performance-based bonuses, and a clear path for career growth, you’ll have everything you need to develop both now and over the longer term.

The Opportunity 

Our compliance team is currently seeking an  Director, Compliance to assist with the firm’s compliance program and act as a resource to the business. Reporting the Chief Compliance Officer (CCO), this role requires hands-on work that encompasses managing all areas of the firm’s compliance program, including trading and investment, code of ethics and business conduct compliance, registration, marketing review, financial crime, sales practices, wealth management, portfolio consulting, privacy and anti-spam compliance and working with the CCO on program enhancements, ensuring compliance for new developments and various other initiatives.

Please note: Strong candidates with experience aligned to an Associate Director level will also be considered.

The expected base annual salary for this role is $120,000- to $150,000 with the final number depending on your experience, skills, education, and team budget. On top of that, you’ll be eligible for our discretionary bonus program.

At PICTON Investments, being employee-owned means, we take care of our team and offer opportunities for top performers to participate in our equity ownership program over time. Eligible employees get access to a full benefits package, including profit sharing, health and wellness coverage, life and disability insurance, paid time off and holidays, learning and development programs, and more, many of which are fully covered or subsidized by us.

Responsibilities of the Role

• Ensure compliance with regulatory and contractual requirements, including investment monitoring, financial crime, privacy, anti-spam, marketing, sales practices, wealth management, risk management, and firm policies.
• Provide expertise on compliance issues and offer guidance on policies, procedures, and regulatory matters to the business.
• Assess and recommend improvements to business methods, systems, and procedures.
• Ensure compliance for marketing content across all mediums, sales practices, and account opening materials.
• Develop and maintain compliance monitoring program.
• Manage regulatory filings, prepare client deliverables, and ensure proper record-keeping and documentation retention.
• Assist in preparing responses for regulatory reviews, surveys, and field reviews.
• Support governance matters, including the Independent Review Committee for funds.
• Act as the money laundering reporting officer for the firm.
• Contribute to the development of regulatory strategies and communicate changes effectively to business teams.
• Help develop, maintain, and implement policies, procedures, and employee training programs.
• Prepare submissions and supporting documents for firm and individual registrations.Work with other departments and leadership to manage compliance risk, promote best practices, and support innovation.
• Manage compliance team member, focusing on their responsibilities and career development.
• Develop understanding and stay informed about investment industry requirements and trends, regulatory developments, and policy updates that impact the firm’s business, compliance program and reporting requirements.

The Qualifications and Experience Required

• At least 10 years of experience in the mutual fund or asset management industry, with a background in compliance, regulatory, or legal roles.
• Undergraduate degree.
• Comfortable with performing and contributing to a hands-on compliance role.
• Completion of the Canadian Securities Course or equivalent.
• Completion of, or willingness to complete, the Chief Compliance Officers Qualifying Exam, Partners, Directors and Senior Officers Course Exam, or equivalent.
• Strong knowledge of Canadian securities legislation, including NI 31-103, NI 45-106, NI 81-102, NI 81-105.
• Ability to interpret and communicate compliance requirements effectively (both oral and written) and develop actionable plans.
• Skilled at building relationships and influencing decisions across the organization.
• Strong research, problem-solving, and analytical skills.
• Experience with marketing platforms, including social media platforms is a plus.
• Self-motivated, able to work independently and as part of a team.
• Accountable, accurate, detail-oriented, and exceptional at follow-through.
• Excellent organizational and project management skills.
• Proficient in Microsoft Excel and experienced with investment/compliance systems, including Bloomberg.
• Ability to communicate in French and experience in managing employees are assets.

Our Commitment to Employees

At PICTON Investments, we take pride in enhancing our employees' experiences through a comprehensive suite of exceptional perks and programs. Our benefits include corporate fitness reimbursement and discounts, VersaFi memberships (formerly Women in Capital Markets), Picton investment counseling and portfolio management services, volunteer and charitable donation matching, maternity and parental leave top-up, recognition awards, semi-annual performance bonuses, a generous annual vacation entitlement (minimum of 15 days per year), training and development reimbursement, extensive health and dental benefits, a healthcare spending account, and more.

These offerings are designed to support your career growth, well-being, and overall success. Join us and thrive in an environment that values and invests in you!

PICTON Investments is committed to providing an equitable and fair work environment for everyone and all hiring and other personnel actions will be taken without regard to race, colour, creed, religion, sex, disability, gender identity, gender expression, family status, age, language or national origin. We welcome applications from candidates with diverse experiences globally. Canadian experience is not required.  If you require an accommodation at any point in time throughout the application and hiring process, please contact Human Resources at (416) 955-4108 or at [email protected].

PICTON Investments does not accept unsolicited resumes, emails, calls, or any other form of communication from third-party recruitment agencies. Any unsolicited outreach, including commercial electronic messages, will neither be acknowledged nor considered.

Please note: We use AI-assisted tools to support parts of our recruitment process, including summarizing interview notes and aligning candidate profiles with job requirements. All decisions are made by our hiring team.