Chief Compliance Officer
Talentworks is pleased to partner with a growing investment firm in Saint John, NB on their search for a Chief Compliance Officer (CCO). This role can be performed remotely within Canada.
The CCO is responsible for assessing compliance by the investment firm, and the individuals acting on its behalf. The position establishes and maintains dealer compliance policies and procedures, monitors and assesses compliance through daily monitoring or periodic reviews, makes recommendations for corrective action and provides reporting to the regulators, the Ultimate Designated Person (UDP), the Board of Directors and senior management.
The CCO ensures compliance with the rules and regulations of regulatory agencies and other laws or regulations and makes certain that related company policies and procedures are current and are being followed, and that behaviour in the organization meets the company’s and industry’s standards of ethical conduct.
What you’ll do:
- Develop and maintain a sound knowledge of the regulatory, legal and business environments in Canada, understanding the common risks and the roles and structures applicable to the compliance function and understand how our business organization operates within the Exempt Market Dealer industry.
- Liaise with the regulatory bodies and other industry members to better understand or influence regulatory change and to better understand business developments in the industry.
- Develop, implement, communicate, and maintain policies and procedures and documentation for operation of the Dealer Compliance Program and ensuring adherence to firm, regulatory and legal requirements and ethical standards.
- Collaborate with other business departments, if necessary, for assistance in investigation and resolution of identified issues or for specialized support in areas such as tax advantaged plans, legal advice, Anti-Money Laundering or privacy requirements, tax or financial reporting.
- Develop, implement and maintain the compliance program in accordance with regulatory and business requirements providing oversight to or managing key control processes.
- Develop, implement and manage the compliance surveillance program in accordance with regulatory requirements and the two-tiered approach to supervision.
- Recommend, coordinate and follow-up on corrective actions or action plans for resolution of problematic issues identified related to compliance vulnerability and risk and provide guidance on how to avoid or deal with similar situations in the future.
What we need from you:
- Passed the Exempt Market Products Exam or the Canadian Securities Course Exam
- Passed the Partners, Directors and Senior Officers exam (PDO) or the Chief Compliance Officers Qualifying Exam
- Gained 12 months of relevant securities industry experience (RSIE) in the 36 month period before applying for registration
The successful candidate’s compensatory package will consist of a competitive salary, profit sharing, health and insurance benefits and possible future ownership after one year.
Please forward a copy of your resume in confidence to Jane@talentworks.biz