Compliance Consultant

Job Title: Compliance Consultant
Reports To: Chief Legal Counsel


Job Summary

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 registrants’ 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 experts 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.

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

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 securities law with some demonstrated experience
    in 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.

How to Apply

If you have an interest in this position or know of someone who may be suitable, please forward a cover
letter, resume, transcripts and list of references to Kimberly Poster, Chief Legal Counsel at by May 31 , 2022.

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.