Careers

For Advisors Who Are Ready to Do Their Best Work

You've spent years building something meaningful: relationships rooted in trust, a practice you're proud of, a reputation that precedes you. The question now isn't whether you're capable. It's whether the platform around you is worthy of what you've built.

OceanFront Wealth Inc. (OceanFront) was built on a simple but uncompromising idea: that doing right by clients requires the freedom to do so. Independence wasn't a differentiator; it was a prerequisite. The group brings together two distinct areas of expertise: investment counsel through OFIC, and financial planning and insurance through OceanFront Wealth, each operating under its own entity, with one shared focus: the long-term wellbeing of the families and entrepreneurs we serve. We call that Return on Life.

What Independence Actually Means Here

Independence is used loosely in this industry. At OceanFront, it means something specific:

• Investment solutions chosen because they are right for clients, full stop. No product shelf economics, no branch quotas, no committee sign-off from head office
• A fiduciary, discretionary advice standard that is the foundation of how we operate, not a marketing line
• The ability to adopt better tools and capabilities, including AI and emerging technology, quickly and thoughtfully, without waiting on an institutional rollout
• A firm structure designed to support your whole life: your family, your health, and how you want to spend your time matter here as much as what happens during business hours

The Role

You are at the centre of client relationships. Clients call you when something meaningful is happening in their lives. That trust is yours to steward, and you'll have the team and infrastructure to honour it properly.

• Own and deepen long-term relationships with families, professionals, and business owners
• Lead sustained business development through referrals, professional networks, and intentional outreach; this is a core responsibility, not an afterthought
• Work closely with dedicated Financial Planners who bring depth and proactivity to every client situation
• Partner with Portfolio Management rather than managing portfolios in isolation
• Identify planning, insurance, and business-owner opportunities that genuinely serve clients' long-term interests
• Contribute to firm strategy, mentorship, and the continued evolution of the practice

Planning, administration, compliance, and operations have clear ownership here. You will not be rebuilding systems or carrying weight that belongs elsewhere. The infrastructure exists; your job is to lead within it, collaboratively and with purpose.

The Book & The Transition

We are selective about advisors and about clients. The right incoming book is planning-centric and relationship-driven, built around families, professionals, and/or business owners, and aligned with fiduciary, discretionary advice. Typically $40M–$150M+ AUM, though quality and structure matter more than size. How a book was built, and the relationships within it, tells us more than what it currently holds.

Moving a book is one of the most consequential professional decisions an advisor makes. Our transition process is structured, compliant, and deliberate, with early conversations kept exploratory and confidential. When a move makes sense, a clear phased framework protects client relationships and preserves momentum, with dedicated operational support throughout. The experience is designed to feel intentional, because it is. Reputation matters. So does retention.

Who Belongs Here

This role is for an advisor who cares deeply about where their practice and their clients belong for the long term. You likely:

• Believe financial planning is the foundation of real advice and that lasting client relationships are built on trust, not transactions
• Value working within a collaborative team structure where everyone plays to their strengths
• Are thoughtful about work-life integration and want to be part of a firm that takes that seriously
• Care about legacy: for your clients, for the families they're building, and for the practice you've spent years developing
• Are technologically fluent and curious, with the judgment to leverage emerging tools in ways that genuinely improve client experience
• Take regulatory obligations seriously and hold yourself to a high professional standard

If you feel structurally capped, underutilized, or like the platform around you isn't keeping pace with what you're capable of, this is worth a conversation.

Credentials & Registration

Candidates must be registered, or eligible to be registered, as an Advising Representative (AR) with OFIC, a registered Portfolio Manager in British Columbia, with meaningful experience advising high-net-worth individuals, families, and/or business owners.

Preferred designations: CFP®, CFA®, CIM®, TEP. Equivalent combinations of credentials and experience considered where alignment is clear.

Compensation & Benefits

Compensation at OceanFront Wealth Inc. is not an afterthought, and it is not built on guesswork. We benchmark rigorously against some of the best and most current market data available, because attracting and retaining serious advisors requires knowing what serious advisors are actually worth.

• Competitive base salary benchmarked against current market data
• Recurring revenue recognition: growth in recurring revenue is recognized and rewarded, not absorbed quietly into the firm
• New asset compensation: assets you bring through your relationships and business development translate into tangible, direct compensation
• Performance bonuses tied to the successful achievement of clearly defined OKRs
• Deferred Profit Sharing Plan (DPSP)
• Full health benefits
• Hybrid work environment
• Equity participation

Let's Talk

Initial conversations are confidential, low-pressure, and exploratory. No pitch. No rush. The right move should elevate your clients' experience and your own capacity to do meaningful work, and it should fit your life, not compete with it. If this resonates, professionally and personally, we'd welcome a conversation.

Our Commitment to Inclusive Hiring

OceanFront Wealth Inc. is committed to building a team that reflects the diversity of the clients and communities we serve. We welcome applications from all qualified candidates and are proud to be an equal opportunity employer.

We do not discriminate on the basis of race, colour, ancestry, place of origin, religion, marital status, family status, physical or mental disability, sex, sexual orientation, gender identity or expression, or age. Accommodations are available on request for candidates taking part in any aspect of the selection process. If you require accommodation, please let us know and we will work with you to meet your needs.

OceanFront Wealth Inc. is the parent company of the OceanFront group, comprising OceanFront Wealth (financial planning and insurance) and OceanFront Investment Counsel Inc. (OFIC), the portfolio management arm. OFIC is registered as a Portfolio Manager in B.C., Alberta, Manitoba, and Ontario, and as an Investment Fund Manager in B.C. and Alberta.

About OceanFront Investment Counsel

OceanFront Investment Counsel Inc. (OFIC) is a Vancouver-based registered Portfolio Manager and Investment Fund Manager with a clear mandate: deliver disciplined, client-centred investment management with uncompromising integrity. We are a firm that takes compliance seriously. Not as an obligation, but as a reflection of our values. As OFIC continues to grow and evolve, we are building an executive team that matches our ambition, and this role is central to that vision.

The Opportunity

This is an opportunity for a compliance professional who enjoys operating with a high degree of independence and professional ownership. The role is designed for someone who takes initiative, works collaboratively across the organization, and actively engages with advisors, operations, and leadership to ensure compliance processes support the firm's broader objectives. It is a dedicated executive compliance position for someone who values the responsibility of shaping a firm's compliance program and guiding how regulatory expectations are applied in practice.

You will serve as the firm's primary liaison to regulators, the authoritative voice on all matters of securities compliance and AML/ATF, and the strategic partner leadership turns to when navigating regulatory complexity.

Reporting to the Ultimate Designated Person (UDP) and the Board of Directors, you will lead the compliance function with the confidence that it has the full support of the organization.

What You'll Do

Securities Compliance

• Lead the design and ongoing refinement of a comprehensive compliance program fully aligned with NI 31-103 and applicable CSA regulations.
• Oversee the firm's internal compliance review program, including reviews of KYC collection of information, KYP documentation, suitability determinations, disclosure practices, and managing conflicts of interest.
• Ensure the firm's policies, procedures, and internal guidance reflect both the letter and the spirit of securities regulation, translating regulatory principles into practical expectations for advisors and staff.
• Conduct structured file reviews of registered representatives to assess documentation quality, suitability reasoning, and adherence to firm policies.
• Establish dashboards or reporting mechanisms that allow leadership to identify emerging compliance risks, documentation gaps, or suitability concerns before they become systemic issues.
• Approve client-facing communications including presentations, statements, reports, and marketing materials for regulatory compliance.
• Oversee registration and proficiency requirements for all registered individuals.
• Act as the firm's primary contact for securities regulators; manage all audit processes, and regulatory filings.
• Advise the team on emerging regulatory developments and risk considerations.
• Lead firm-wide compliance education and training programs, ensuring registrants understand regulatory expectations and how they apply in practice.
• Maintain and update the firm's compliance manual, policies, and procedures and ensure staff acknowledge and adhere to firm requirements.
• Ensure material compliance issues are escalated appropriately to the UDP and Board and that remediation plans are implemented and monitored.

AML & ATF Compliance

• Serve as AML Compliance Officer for OFIC, bearing full ownership of AML/ATF program design and maintenance in accordance with FINTRAC and sector-specific requirements.
• Conduct and document periodic AML risk assessments of the firm and its client base using a risk-based approach (RBA).
• Monitor suspicious transactions; oversee identification process, recordkeeping protocols, and appropriate reporting obligations where required.
• Deliver staff training and ensure enterprise-wide adherence to AML/ATF obligations.

Strategic & Executive Leadership

• Shape the enterprise-wide compliance culture, proactively embedding compliance thinking into every corner of the organization.
• Work closely with the team to ensure regulatory expectations are integrated into everyday business decisions.
• Lead, mentor, and develop compliance staff; set clear performance goals aligned with regulatory priorities.
• Provide strategic input on new business initiatives, product development, and enterprise risk management.
• Facilitate cross-functional collaboration to ensure compliance considerations inform all key decisions.
• Identify and evaluate technology, workflows, and processes that strengthen compliance oversight, improve efficiency, and support scalable supervisory reviews while preserving professional judgement for final supervisory oversight.
• Deliver clear, authoritative compliance reporting to the Board and executive leadership on regulatory developments, compliance program effectiveness, and emerging risks.

What You Bring

• Five or more years in a senior compliance role at a registered Portfolio Manager or Investment Fund Manager, with the qualifications required for CCO approval under NI 31-103.
• Comprehensive knowledge of NI 31-103 including the Client Focused Reforms, and related CSA regulatory initiatives.
• Strong written and analytical skills. Able to translate complex regulatory requirements into clear, actionable policy.
• Demonstrated experience designing, implementing, and overseeing firm-wide compliance programs including building practical review and monitoring processes supported by tools such as Excel macros, power queries and Microsoft Power Platform solutions (Power Automate, Power Apps).
• Experience with Dataphile, Salesforce or comparable CRM, d1g1t or comparable portfolio management software.
• Familiarity with RegTech or AI-assisted compliance tools is a plus.
• Executive-level leadership presence: the credibility to advise the Board, the authority to hold the line, and the judgment to know when to do both.
• A background in securities law is highly desirable.

Compensation & Benefits

We offer a compensation package that reflects the executive nature of this role:

• Base salary: $160,000–$220,000, commensurate with experience and qualifications
• Performance-based annual bonus
• 100% employer-funded Deferred Profit Sharing Plan (DPSP)
• Comprehensive group benefits package (health, dental, vision, paramedical)
• Education reimbursement and paid professional licensing
• Equity opportunities (based on eligibility and tenure)
• Dedicated executive onboarding and structured support for long-term success
• A high-performing, collaborative culture where compliance leadership is respected and valued

How to Apply

For the compliance professional who has spent a career earning this seat, this is it.

During the interview process, candidates are encouraged to submit a resume along with two brief examples of work produced in a compliance leadership role. These samples help us understand how you approach the practice of compliance beyond rule interpretation.

Due to the high volume of applications we receive, only those candidates selected for an initial interview will be contacted. We thank all applicants for their interest in the posting.