Chief Compliance Officer (Canada)

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Requirements:

• Minimum 5+ years of compliance experience, including senior leadership roles.
• Completion of the CSI Partners, Directors and Senior Officers Qualification Examination (“PDO”) and Chief Compliance Officer Qualifying Examination (“CCO”).
• Bachelor’s degree in finance, business, law, or equivalent work related field (preferred).
• Direct, in-depth knowledge of Canadian Securities Regulation and Financial Crime Regulation.
• Proven experience in managing regulatory applications, particularly with CIRO, OSC, and FINTRAC.
• Strong track record of developing and administering internal controls, with the ability to manage audits and exams independently.
• Experience collaborating with remote, global teams to achieve compliance objectives.
• Strong written and verbal communication skills for effectively engaging diverse stakeholders.
• Demonstrated ability to navigate complex regulatory environments and proactively identify compliance solutions.
• High ethical standards and a commitment to maintaining confidentiality.

Responsibilities:

• Lead compliance efforts for the firm’s CIRO Investment Dealer application, ensuring all regulatory requirements are met.
• Responsible for day-to-day activities up to and including: responses to customers and regulatory inquiries, review and approval of incoming and outgoing correspondence, review and approvals for marketing material, any required regulatory filings (daily, weekly, monthly, etc.)
• Identify relevant regulatory requirements, monitor compliance, and deploy necessary changes in partnership with internal and external stakeholders.
• Manage communications with CIRO, OSC, FINTRAC, and other regulators, including notifications, comment letters, and handling day-to-day interactions.
• Create policies and procedures to ensure the business is properly supervised and managed. Maintain a complete record of all documentation as prescribed by regulation, and update as needed based upon business and regulatory changes.
• Oversee compliance training programs for employees, ensuring they are well-informed of regulatory obligations.
• Provide regular updates to senior management regarding compliance activities, risks, and incidents. Escalate material issues appropriately.
• Partner with the President/CEO to recruit and develop a high-performing team.
• Manage and develop global relationships with key stakeholders to ensure a consistent and integrated compliance approach.
• Collaborate and support the firm’s teams to integrate new initiatives, regulatory obligations needs, and any other assignments as assigned by the President/CEO.