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)