Legal and Compliance Officer

As the first Legal & Compliance Officer, you will establish and maintain the company’s legal, regulatory, and compliance frameworks across all business operations. You will act as the primary internal advisor on corporate governance, commercial transactions, securities compliance, KYC/AML, and related risk and policy matters.

Responsibilities

Corporate Governance & Secretarial

• Maintain entity structure by handling ongoing entity formations, registrations, dissolutions, and corporate record‑keeping for all U.S.,Canadian, and localoperating vehicles.
• Manage statutory compliance, ensuring timelyfilings of annualreports, tax registrations, and other regulatory submissions.
• Support governance processes, including preparing board/partner meeting materials, drafting resolutions, and updating minute books and organizational charts.
• Serve as primaryliaison with external counseland regulatory bodies,coordinating responses to audits, exams, and inquiries.

Commercial &Transactional Support

• Review and negotiate agreements on a continual basis, including real‑estate purchase/saledocuments, financing and loan agreements, service contracts, and technology/licensing arrangements.
• Draft and negotiatecorporate commercial contractsas well as manage vendor, service‑provider and technology licensing agreements.

Securities &Regulatory Compliance

• Oversee securities compliance for our activities, continuously monitoring adherence to Regulation S, Regulation D (506(b)/(c)), and NI 45‑106 exemptions.
• Develop and updatecompliance policies, training programs, and process controls ensuring ongoing control, coordination, and marketing restrictions.
• Monitor regulatory developments in U.S. and Canadian securities, investment management, and financial crime laws, and translate changesinto actionable policy updates.
• Draft and refineinternal policies covering conflicts of interest, data privacy, code of conduct, whistleblower procedures, and other compliance frameworks.

KYC, AML & Financial Crime Prevention

• Implement and manageKYC processes, conducting ongoinginvestor due diligence, identitychecks for non‑U.S./non‑Canadian investors.
• Maintain AML program, including transaction monitoring, sanction screening, and suspicious activity reporting protocols.

Qualifications & Attributes

• JD or equivalent; bar admission in a U.S. jurisdiction preferred.
• 4+ years of combinedlaw firm and in‑house experience in corporate, securities, and compliance roles.
• Deep understanding of U.S. (Reg S, Reg D, AdvisersAct) and Canadian(NI 45‑106) market regulations.
• Fintech and high growthexperience is a plus.
• Strong communicator, analytical problem‑solver, and self‑starter capable of building frameworks from the ground up.
• Professional, structured, and collaborative approachwith senior leadership and external partners.

What we offer:

• Join a high-performing and high-potential team.
• Training and development opportunities.
• Exceptional working environment.
• Attractive compensation and benefits package.