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| Job Number: | 25750242 | | Company Name: | Permanent Search Group | | Job Location: | Mississauga, ON CA | | Job Category: | Accounting & Finance |
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Chief Compliance Officer
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| OUR CLIENT: One of Canada's leading independent Wealth Management companies has retained our service to source a CHIEF COMPLIANCE OFFICER. Our Client is a full service wealth management company supporting both the IDA and MFDA platform, whose focus is on building long-term relationships and strategic alliances based on mutual respect. Entrepreneurial in nature, the company was built by planners for planners, their main focus being on working with Financial Advisors to help them excel within a constantly changing regulatory regime. MANDATE: The Chief Compliance Officer reports to the President and Chief Executive Officer, taking on a strategic leadership role on all regulatory, compliance, and board governance for our client to proactively meet compliance guidelines and approved policies & procedures to achieve efficiency and leverage resources available within our client's Group of Companies to meet objectives of the firm. DUTIES AND RESPONSIBILITIES: Regulatory accountabilities - 60% Satisfy National Instrument 31-103 registration, oversight and segregation of duties Direct liaison with IGM legal and external counsel to manage regulatory, board governance and compliance matters Act and/or support Chief Privacy Officer and AML Officer Officer responsible for portfolio management and sales compliance and support transfer agency/operational compliance Managing relationships with all regulatory agencies both provincially and nationally on behalf of the firm Compliance Accountabilities - 40% Ensure firm meets all OSC requirements board approval policies and procedures in business practices and service model. Immediately report to the UDP any anomalies or irregularities Partner with other departments to ensure they clearly understand their role in compliance and that their compliance activities are carried out effectively. Conduct training and education as appropriate. Partner with other departments to identify compliant and practical solutions to business issues. Monitor and influence changes in industry rules and regulations. Represent Counsel Portfolio to regulators and the industry. Establish acceptable policies and procedures within the firm for OSC review and approval. Manage all service approvals through OSC and maintain knowledge of new and developing compliance rules and proactively analyze impact Ensure all registrations of the firm are in good order and that each registrant meets the proficiencies of their position and maintains their continuing education requirements for both professional development and ongoing compliance knowledge. Perform the supervision of all regulated activities within the firm. Provide supervision of all trading activities in the firm. Report quarterly to the board on status of compliance matters for the firm. Participate in appropriate committees of OSC and/or IFIC. Provide training and compliance education to all staff members IDEAL PERSONALITY: You are an engaging LEADER and an effective communicator, capable of articulating concepts to enhance the knowledge of others. You incorporate an appropriate balance of risk management and business needs. You are able to identify issues requiring escalation. You build strong partnerships to ensure goals are achieved. You are an autonomous self-starter with increased effectiveness for adverse benchmarks. QUALIFICATIONS: National Instrument 31-103 Proficiency Requirements: Qualified designations such as: CIM, CGA, CMA, CA, LLB, and/or CFA plus appropriate work experience to satisfy NI 31-103 proficiency requirements for Portfolio Manager and Investment Fund Manager are mandatory. Regulatory Knowledge - Expert knowledge of mutual fund manufacturing and industry legislation including National Instruments Industry Courses - Required completion of at least CSC and PDO CCO or equivalent with 5+ years of relevant experience with excellent working knowledge of IDA/MFDA regulatory environments. Strong leadership ability with excellent communication and presentation skills Interested candidates, please contact Sandra Gomes by email to
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