Senior Director, Compliance & Enterprise Risk Management

Best Workplaces™ in Canada 2020 - 2026 | Best Workplaces™ with Most Trusted Executive Teams 2024 - 2026 | Best Workplaces™ in Financial Services & Insurance 2020 - 2026 | Best Workplaces™ for Mental Wellness 2023 - 2026 | 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 | Best Workplaces™ for Professional Development 2025 | Best Workplaces™ for Young Talent 2026

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 250 bold thinkers—one-third dedicated solely to investment management—we are specialists, not generalists. Managing over $20.8 billion (October 31, 2026) 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

We’re looking for a knowledgeable, detail-oriented, and solutions-focused Senior Director, Compliance (Enterprise Risk Management) to join our Risk & Compliance team. This is an exciting opportunity for an experienced risk professional who enjoys working collaboratively across the business, managing multiple priorities, and translating regulatory requirements into practical guidance and effective processes.

Reporting to the Chief Compliance Officer, this role will lead the development, implementation, and ongoing enhancement of PICTON Investments' Enterprise Risk Management (ERM) framework while supporting key compliance initiatives across the organization. The successful candidate will work closely with business leaders to identify, assess, monitor, and mitigate enterprise-wide risks and strengthen the firm's risk culture.

The Senior Director will serve as a trusted advisor to senior leadership, helping ensure risks are appropriately understood, managed, and reported while supporting regulatory compliance obligations, governance practices, and strategic business initiatives. The role requires strong leadership, collaboration, and communication skills, along with the ability to translate complex risk and regulatory concepts into practical business solutions.

At PICTON, 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.

You’ll have the opportunity to learn and lead:

• Lead the ongoing development, implementation, and enhancement of the firm's Enterprise Risk Management (ERM) framework, policies, methodologies, and reporting.
• Facilitate enterprise-wide risk identification, assessment, monitoring, and mitigation activities across all business functions.
• Maintain and oversee the firm's risk register, risk taxonomy, key risk indicators (KRIs), risk appetite measures, and associated reporting.
• Partner with business leaders to assess operational, strategic, regulatory, financial, technology, cybersecurity, third-party, and reputational risks.
• Coordinate periodic enterprise risk assessments and control effectiveness reviews.
• Prepare risk reporting and presentations for executive leadership and senior management committees.
• Support the development and monitoring of action plans to address identified risks, control gaps, and audit findings.
• Provide independent challenge and guidance to business stakeholders regarding risk management practices and emerging risks.
• Monitor regulatory developments, industry trends, and emerging risks that may impact the firm's business strategy, operations, or risk profile.
• Support governance committees through the preparation of materials, risk dashboards, reporting, and meeting coordination.
• Lead and support risk-related projects and strategic initiatives, including business transformation, process improvement, and regulatory change programs.
• Collaborate with Compliance, Legal, Operations, Technology, Finance, Investments, Product, Sales and Marketing teams to strengthen risk management practices across the organization.
• Support business continuity management, crisis management, and operational resilience initiatives.
• Assist with regulatory examinations, external audits, and risk-related information requests.
• Promote a strong risk culture through education, awareness, and training initiatives across the organization.
• Contribute to compliance monitoring, policy development, regulatory filings, and other compliance-related activities as required.

What we’re looking for

• Undergraduate degree in Business, Finance, Accounting, Economics, Risk Management, Law, or a related field.
• 8+ years of progressive experience in enterprise risk management, compliance, internal audit, operational risk, governance, or related functions within financial services.
• Strong knowledge of enterprise risk management frameworks, risk assessment methodologies, and governance best practices.
• Experience designing and implementing ERM programs, risk registers, risk appetite frameworks, and key risk indicators.
• Strong understanding of the Canadian investment management and securities regulatory environment.
• Experience presenting risk-related information to senior leadership and governance committees.
• Knowledge of operational risk, third-party risk management, business continuity planning, and regulatory compliance.
• Proven project management and stakeholder management skills.
• Strong analytical and problem-solving capabilities with the ability to evaluate complex business risks.
• Excellent written and verbal communication skills, including the ability to distill complex issues into clear, actionable recommendations.
• Ability to influence and build strong relationships across all levels of the organization.
• Professional designations such as CPA, CFA, FRM, CRM, CIA, CISA, CBRM, or similar are considered strong assets.
• Demonstrated ability to operate effectively in a fast-paced, entrepreneurial environment while balancing strategic priorities and regulatory requirements.

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, fair, and accessible work environment for everyone. All hiring and other employment decisions are made 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 from around the world, and Canadian work experience is not required. We are committed to providing an accessible recruitment process, with accommodations available upon request at any stage of the application and selection process. If you require an accommodation to support your participation, please contact Human Resources at (416) 955-4108 or [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.