Join Auspice Capital – Canada's Leading Active Commodity & CTA Manager

Auspice Capital is expanding. As the largest active commodity and CTA manager in Canada, we continue to grow across both institutional and retail channels. Following the successful launch of new institutional mandates in our Commodity Evolution portfolios and our expanding cash-efficient return stacking solutions, we are seeking to add talented professionals to our team.

We are seeking entrepreneurial, driven individuals passionate about innovative investment solutions that serve both retail and institutional clients across Canada and the U.S.

Why Auspice?

We are a pioneering Canadian fund manager operating across both retail and institutional channels. With deep relationships across Canada and the U.S., we offer a rare opportunity to be part of a team reshaping access to commodity and CTA strategies.

Location:

Roles may be based in Calgary, Toronto, or Montreal, with flexibility. You will work closely with the experienced Auspice team and our partners at Direxion, CI Global Asset Management, and Walter Global Asset Management.

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) Director of National Distribution - Auspice is looking for an experienced sales professional with leadership experience and a proven track record of sales growth (7 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 leveraging our 18-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. Institutional experience and relationships would be considered an asset.

(2) Business Development Manager (Retail) - Auspice is looking for a wholesaler that builds upon their existing relationships, supporting retail capital raising for our 81-102 Fund products in Canada. This role could be focused in Western Canada or Eastern Canada.

(3) Business Development Associate - Auspice is looking for an Inside Sales professional to support the efforts of senior business development, product specialists, and retail-facing team members. This role will help maintain materials, coordinate meetings and events, and open new doors we haven't yet walked through.

(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.


(5) Chief Compliance Officer - 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 a Calgary based quantitative fund manager and registered CTA (Commodity Trading Advisor under NFA; registered as an 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 $850mm. We think we are still in the early days in our growth trajectory.

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

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

Major Responsibilities:

  • Oversee and manage the firm’s compliance programs for all registered entities, including Exempt Market Dealer, Investment Fund Manager, Commodity Trading Manager (Canada), and CTA registrations (United States).

  • Ensure compliance with applicable securities laws, National Instruments (e.g., NI 31-103, NI 81-102), and regulatory guidance from the ASC, OSC, AMF, and other relevant provincial regulators including the Canadian Securities Administrators.

  • Maintain and enhance the firm’s compliance policies and procedures to reflect evolving regulatory requirements and business practices.

  • Review and approve client communications, offering documents, fund facts, investor presentations, and other regulatory disclosures for accuracy and compliance.

  • Ensure compliance with U.S. regulatory requirements for the firm’s CTA and NFA membership, including maintenance of disclosure documents, Form PR filings, and compliance with NFA rules.

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.

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

  • Include resume and cover identifying relevant skills and experience

  • Include “Chief Compliance Officer” in the subject of the email.

  • Confirm that you meet the regulatory requirements of a CCO for an IFM under NI 31-103, section 3.14 on page 20-21: https://www.osc.ca/sites/default/files/2022-05/ni_20220606_31-103_unofficial-consolidation.pdf. If you do not meet the requirements, please indicate which requirements you do not meet.

Location: Calgary preferred, potential for remote, part-time/50% role.