Acting Chief Compliance Officer

Acting Chief Compliance Officer (Acting CCO)

Apply By: July 27, 2026

Start Date: September 14, 2026

Salary Range: $55.00-$65.00/hour commensurate with experience

Term: Interim/acting appointment: 6 months

Time Commitment: Part-time, fractional or full-time engagement; specific hours to be confirmed with the successful candidate.

Reporting Relationship: Reports functionally to the UDP and Board as required to fulfill statutory responsibilities.

Location: Remote/Canada 

About Tapestry Community Capital 

At Tapestry Community Capital, we’re democratizing how communities invest in their future. As a leading impact investing not-for-profit organization, we support other community organizations through the process of raising community bonds - an innovative financing tool used to fund socially and environmentally beneficial projects.  

Tapestry’s clients have successfully raised over $147 million in community investment from thousands of retail and institutional investors. Our innovative approach supports community organizations with expert guidance, a custom-built investment platform, and a deep passion for social change.  We support organizations by structuring their investment offerings, advising on fundraising, and provide a technology platform for investment administration.

Tapestry has grown quickly with the energy and spirit of a start-up, driven by a bold vision for the future. 

Acting Chief Compliance Officer (Acting CCO)

Tapestry is seeking a qualified individual to serve as Acting CCO on an interim basis. The Acting CCO will assume the regulatory responsibilities of the CCO role in accordance with National Instrument 31-103 and Securities Commission requirements. This is an excellent opportunity for an experienced compliance professional to support a mission-aligned, impact-driven organization during a period of growth.

Key Responsibilities

• Support the registration of Tapestry as an exempt market dealer in all jurisdictions across Canada
• Establish, maintain, and oversee the Firm’s compliance policies and procedures in accordance with securities legislation and Tapestry’s Compliance Manual.
• Monitor and supervise the business activities of all employees, officers, directors, and dealing representatives to ensure ongoing compliance with applicable securities laws.
• Identify, escalate, and report instances of non-compliance, including any matters creating a risk of harm to clients or the capital markets, to the Ultimate Designated Person (UDP).
• Oversee and manage the Firm’s compliance monitoring, testing, and reporting program, including KYC, KYP, and suitability obligations.
• Ensure timely regulatory filings with the OSC and other applicable securities regulatory authorities, including anti-money laundering (AML) and anti-terrorist financing (ATF) reporting under FINTRAC requirements.
• Prepare and deliver the annual compliance report to Tapestry’s Board of Directors assessing the Firm’s compliance with securities legislation.
• Review, update, and recommend enhancements to the Firm’s Compliance Manual and policies as regulatory requirements or business activities evolve.
• Manage and respond to client complaints in accordance with the Firm’s complaint-handling procedures, including significant complaints requiring investigation.
• Identify, disclose, and oversee management of conflicts of interest, including those arising from related and connected issuers.
• Liaise directly with the Board of Directors and the UDP as necessary, including providing direct and unimpeded access on compliance matters.

Qualifications and Proficiency Requirements

In accordance with National Instrument 31-103 (section 3.10, Exempt Market Dealer – Chief Compliance Officer), candidates must satisfy one of the following proficiency pathways:

1. Passed the Exempt Market Products Exam or the Canadian Securities Course Exam; AND passed the Partners, Directors and Officers (PDO) Exam or the Chief Compliance Officers Qualifying Exam; AND gained 12 months of relevant securities industry experience within the 36-month period before the application; OR
2. Met the proficiency requirements applicable to a portfolio manager’s chief compliance officer under NI 31-103, section 3.13; OR
3. Qualifies for an exemption from section 3.13 under subsection 16.9(2) of NI 31-103 (registration of chief compliance officers).

Additional preferred qualifications:

• Prior experience as a CCO, Deputy CCO, or senior compliance officer at a registered EMD, investment dealer, or other securities registrant.
• Strong working knowledge of NI 31-103, NI 45 -106, NI 33 -109 and their companion policies, AML/ATF (FINTRAC) requirements, and securities commission reporting obligations.
• Experience with KYC, KYP, and suitability frameworks, ideally within the exempt market or fixed-income space.
• Familiarity with conflicts of interest management, particularly involving related and connected issuers.
• Demonstrated ability to work independently, report to a Board of Directors, and exercise sound regulatory judgment.
• Alignment with Tapestry’s mission as a non-profit, impact-driven organization is an asset.
• Eligible and able to be registered with the OSC (and other applicable jurisdictions) in the category of Chief Compliance Officer.

Compensation and Benefits:

• Competitive Annual Salary: $55.00-$65.00/hour commensurate with experience
• Flexible Work Environment: Enjoy a remote-first approach with the option to work from home, our Toronto head office, or a paid membership to a co-working space in your community. 
• Benefits: specific benefits to be determined with the successful candidate.

AI and our Recruitment Process

We use a Human Resource Information System to collect applications. We may use disqualifying questions in our screen process, however every application will be reviewed by a member of our hiring committee. We do not enter candidate information into AI. 

Deadline: July 27, 2026

How to Apply 

• Please submit a cover letter and resume in PDF and to https://secure.collage.co/jobs/trec-tapestry/63668
• In your cover letter, please address why you are interested in working for Tapestry and how you would be successful in this position.   

We sincerely thank you for your interest in working with us. We are a small (but mighty!) team. Thus, only those chosen for an interview will be contacted. Tapestry Community Capital is fully committed to being an equal opportunity employer and evaluating all applications without discrimination or bias. We are also committed to acting on the values of Justice, Equity, Diversity, and Inclusion. We value and welcome applications from diverse experiences. We encourage you to apply even if you do not meet all the above-mentioned requirements.

Research shows that men tend to apply for jobs when they meet around 60% of the criteria. While women and marginalized people tend to only apply when they check every criteria. So if you think you have what it takes, but don’t necessarily meet every single point on the job description, please do apply.

Should you require special accommodations due to a different set of abilities, please do not hesitate to contact us at karen@tapestrycapital.ca or at 416-977-5093 ext. 0. 

Tentative Selection Timeline

• Application deadline: July 27, 2026
• Interview invites sent out: July 31, 2026*
• Interviews* held: week of August 4-10th
• Reference check: week of August 10-13th
• Offer sent out: week of August 20, 2026
• Those candidates who were interviewed will be notified within 45 days of their last interview. 
• Start date: September 14, 2026

*Candidates who are selected for an interview will be paid a stipend of $75 for each interview they participate in and an additional amount for completing the assignment in the second-round interview.