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:

What we need from you:

Perks:

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.

What now?

Please forward a copy of your resume in confidence to Jane@talentworks.biz