Job Description
We are seeking a Chief Compliance Officer to join our team in Canada. As a Chief Compliance Officer in Canada, you will play a crucial role in ensuring that our operations strictly adhere to regulatory guidelines, while driving forward innovative compliance initiatives.
Responsibilities - Promote a culture of compliance, develop a strong and effective compliance programs and setting industry standards.
- Provide oversight, supervision, and review of all regulated activities within the firm, monitor and assess compliance of the firm, its registered individuals, and employees; and day to day guidance and strategic planning assistance to the business units.
- Advise on and implement regulatory changes, policy updates and compliance requirements to ensure continuous compliance and improvement of business operations.
- Advise management of issues, recommend corrective actions and work with business units to implement changes to firm wide operating policies and procedures in areas of compliance, portfolio management and trading.
- Develop written policies, processes and procedures to ensure regulatory compliance.
- Educate and train personnel about compliance procedures and new regulatory initiatives.
- Assist and provide regulatory support on existing trading practices and new initiatives.
- Collaborate with the global Compliance team to investigate and address regulatory concerns, and resolving issues.
- Assess inherent risks and conflicts of interests across internal business lines.
- Manage relationships with the applicable regulators on behalf of the firm.
- Develop and implement transactional, periodic, and forensic testing programs to assess the adequacy of the firm’s policies and procedures.
- Assist the firm in implementing corrective actions as identified by the testing programs.
- Manage regulatory and sweep examinations.
- Maintain all regulatory registrations and authorizations.
- Respond to complex compliance audit questions and requests from business units and provincial regulators.
- Ensure timely and accurate regulatory reporting to securities regulatory authorities, FINTRAC, and other regulatory bodies as required.
- Recommend risk management methods.
- Oversee the firm's AML and privacy compliance programs.
Qualifications - Minimum 8 years of experience in compliance, risk management, or regulatory oversight within the financial services industry.
- Outstanding verbal and written communication skills, along with outstanding analytical and problem-solving abilities.
- Completion of Canadian Securities Course and Partners, Directors and Senior Officers Course.
- Working knowledge of the National Registration Database (NRD).
- Earned a CFA Charter or an equivalent professional designation (viz. Chartered Accountant, Certified General Accountant, Certified Management Accountant)
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