Chief Compliance Officer, Canada
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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Chief Compliance Officer, Canada