We are always looking for exceptional individuals to join our team.

Preference is for Calgary, Toronto, or Montreal based employees however remote positions are being considered. To apply send your resume and a maximum 1-page introduction identifying relevant skills and experience to info@auspicecapital.com. Please include the job category you are applying for in the subject of the email.

Auspice is currently hiring:

(1) Chief Compliance Officer

Auspice is a Calgary based quantitative fund manager and registered CTA (Commodity Trading Advisor under NFA; registered as a Exempt Market Dealer, Commodity Trade Manager, Investment Fund Manager, and Portfolio Manager in Canada). Auspice specializes in applying systematic investment strategies to commodity and financial futures markets. We have achieved significant growth in recent years with firm AUM at approximately $1bn. We think we are still in the early days in our growth trajectory.

Auspice is actively seeking an experienced Chief Compliance Officer with specialized expertise in managing compliance within the realm of hedge funds, public mutual funds, and liquid alternatives in Canada.

Auspice is intensely creative and entrepreneurial, having pioneered a number of firsts including product in the ETF space and with 81-102 liquid alternative mutual funds. Innovation, entrepreneurialism and not accepting the status quo in product, delivery mechanism or regulatory category is in our DNA.

Our branding and messaging is important as we develop content in forms of research, blogs and thought leadership continuously.

Responsibilities:

  • Adherence and further development of the existing compliance framework and compliance calendar;

  • Weekly meetings with firm’s UDP and founder Tim Pickering.

  • Ensure the firm complies with its Derivatives Risk Management Program and the exemptive relief granted by the ASC to the Auspice Diversified Trust and Auspice One Fund Trust (81-102); 

  • Oversee the firm’s index licensee and sub-advisory engagements;

  • Initial and ongoing due diligence of service providers;

  • Attend and represent the firm at the Independent Review Committee meetings;

  • Review and approval of new client documentation, ensuring the KYC information is complete and the investment is suitable for direct EMD clients.  This will also include a review of the subscription agreement and an assessment to ensure the client meets the requirements for the exemption they are relying on; 

  • Review of the holdings in the fund for compliance with the information stated in the offering documents; 

  • Review, approval and monitoring of the firm's marketing activities, including social media, sales literature and advertising materials, as well as monitoring the sales practices of the firm's representatives, including compliance with National Instrument 81-105;

  • Ensure the firm complies with National Instruments 81-102 & 81-106;

  • Approve and monitor the outside activities of employees as well as disclose any conflicts of interest where applicable;

  • Ongoing maintenance of the firm’s conflicts of interest log and disclosures where appropriate;

  • Ensure relationship disclosure, conflicts of interest and other disclosures are kept current and provided to all clients at the time of account opening and when documents are updated or required to be sent to existing clients;

  • Ongoing review and maintenance of the firm's policies and procedure manual;

  • Maintenance of the firm’s registration and NRD;

  • Reviewing, responding, and investigating client complaints;

  • Ongoing and annual reporting to the Board of Directors;

  • Overseeing the firm's anti-money laundering and anti-terrorism financing training, ensuring the firm is compliant with regulations and reporting requirements of PCMLTFA and international regulations including UN anti-terrorism;

  • Assess and monitor the outside activities of any employees as well as disclose any conflicts of interest where applicable;

  • Address regulatory inquiries and ensure filings are completed;

  • Oversee the firm’s compliance with NFA rules and regulations

Qualifications:

  • Bachelor's degree in Law, Finance, or related field; advanced qualifications preferred.

  • Experience in a compliance role within the Canadian financial sector, ideally with a focus on public mutual funds, hedge funds and liquid alternatives.

  • Meet the proficiency requirements under NI 31-103.

  • Experience with regulatory frameworks governing mutual funds and 81-102 liquid alternatives in Canada.

  • Knowledge of US financial regulatory frameworks relating to NFA, CFTC and for CTAs (Auspice also uses external compliance consultant support in this regard).

  • Strong analytical skills to interpret and apply complex regulations effectively.

  • Excellent communication, leadership, and strategic planning abilities.

  • Entrepreneurial Mindset: A willingness to innovate and challenge existing norms and improve procedures while developing new compliance strategies that align both with the growth goals of Auspice and regulatory frameworks.

  • Strong problem-solving skills.

  • Self-motivated with a strong desire to contribute to the success of Auspice.

If you possess a deep understanding of compliance in the context of public mutual funds and liquid alternatives within Canada's financial landscape, we invite you to apply.

To apply to the CCO opportunity at Auspice please email info@auspicecapital.com

Location: Calgary preferred, potential for remote.

(2) Developer (Entry-Level, F#, MySQL, AWS, .NET)

Auspice is seeking a motivated and talented Developer to join our small, but dynamic team. This entry-level position is perfect for candidates who are eager to learn and grow their skills in software development and financial markets. As a Developer, you will collaborate directly with our experienced development and trading professionals to contribute to the design, development, and maintenance of our cutting-edge trading and research platforms. This is a fantastic opportunity to learn and grow alongside industry experts while working with a diverse range of technologies, including F#, MySQL, AWS, and .NET.

Responsibilities:

  • Collaborate with the development and trading professionals to design, build, and maintain high-quality software solutions

  • Contribute to the development of trading algorithms and research tools using F#, .NET, and other technologies

  • Assist in the integration and management of data using MySQL and AWS

  • Participate in code reviews to ensure best practices and maintainability

  • Continuously learn and stay up-to-date with the latest industry trends and technologies

Requirements:

  • Bachelor's degree in Computer Science, Engineering, or a related field

  • Knowledge of or experience with F#, MySQL, AWS, and .NET is a plus, but not required

  • Some understanding or experience in finance or financial markets is preferred, but not mandatory

  • Strong problem-solving skills and ability to learn new technologies quickly

  • Excellent communication and collaboration skills

  • Self-motivated with a strong desire to contribute to the success of the team and company

To apply, please send your resume and a maximum 1-page introduction highlighting your relevant skills and experience to info@auspicecapital.com. Include "Entry-Level Developer" in the subject line of your email.

(2) Director of National Retail Distribution - Auspice is looking for an experienced wholesaler (5 years minimum experience) to support upcoming liquid alternative access for our core funds.  This is a cross Canada opportunity to lead the campaign and this retail channel at Auspice levering our 16-year track record, rapid asset growth, retail and institutional partnerships in Canada and the US, and extensive collateral materials and research. This individual will be a confident and independent salesperson who is comfortable in an entrepreneurial setting working alongside industry leaders who are very proud of the Auspice brand.

(3) Inside Business Development Manager - Auspice is looking for a special "Inside BDM " to work alongside and supporting two senior partners. Auspice does not cover a single channel and thus the role is unique in that the inside BDM will be responsible for coordinating meetings with both retail and institutional clients and prospects, both direct and with our 3rd party partners whom we sub-advise. Additionally, the role will include supporting the development and maintenance of sales materials while also coordinating various educational and business social events. We are looking for fresh eyes and energy and your ideas will be welcome as we rapidly expand our assets and client base.

(4) Trading and Research Talent - Auspice is always looking for top trading and research talent. If you have a successful track record in systematic / rules-based trading and/or research, we are interested in meeting you.