Chief Compliance Officer

5 days ago

Calgary AB, Canada ThorekScott and Partners Full time

Your Partners in Recruitment

Thorek/Scott and Partners (TSP) has been connecting accomplished organizations with talented individuals for almost four decades. At TSP, our track record of successfully completing challenging searches across the professional spectrum has earned us an exceptional reputation at the forefront of the recruitment industry. Our Canadian and International clients include:
global banks and non-bank financial institutions, private equity and investment funds, professional service firms, and entrepreneurial businesses in a variety of industries. We value the human connection and distinguish ourselves through an unwavering dedication to understanding the goals and motivations of our clients and candidates alike.

This open role is currently being featured by Thorek/Scott and Partners We highlight a variety of open roles every week. If you save this position to apply to later, it may appear closed when you revisit it. For a full list of all open positions, please visit

Position Overview

Our client is a substantive player within the Canadian life insurance industry. Currently experiencing a period of significant growth, they are seeking a seasoned and forward-looking Chief Compliance Officer (CCO) to join their executive team.

Reporting to the CEO, the CCO is responsible for all activities relating to the development, implementation and monitoring of the company’s national compliance program while maintaining a strong understanding of the business needs of the organization. Leading a national team, the CCO will provide strategic leadership to management and be responsible for the company’s compliance program across Canada, overseeing risk management, policies, procedures, regulatory reporting, examinations, and investigations.

The ideal candidate will have previous experience in a Chief Compliance Officer (CCO) or similar role with a proven track record of successful leadership in Canadian regulatory compliance for the insurance industry. This is an exciting opportunity to directly impact the evolution of a national compliance program and assess compliance risks comprehensively and find innovative solutions to ensure that the organization operates and is positioned for growth within the boundaries of regulatory requirements and industry standards.

Role Responsibilities

  • Directly manage the national compliance program, providing leadership, guidance, and support in accordance with applicable laws and best practices.
  • Create and communicate corporate policies and procedures to the compliance team, the firm’s management, advisors and other employees.
  • Manage regulatory affairs across Canada, staying current with and ensuring compliance with applicable legislations, regulations, and policies.
  • Create, maintain and regularly conduct business practice review of procedures and policies which define and conform to the ethical and regulatory compliance requirements of the insurance industry and relevant industry organizations.
  • Ensure that corporate actions conform with legal and regulatory requirements through participation in the review of sales and marketing communications prior to circulation.
  • Proactively develop education material to aid employees and contracted Advisors in the awareness and understanding of legal and regulatory requirements, policies and procedures.
  • Identify areas of vulnerability relative to prevailing regulations and develop review mechanisms to guard against these key risks.
  • Investigate complaints and alleged violations. Identify internal consequences, provide recommended course of action and implement corrective measures to address the violation and to prevent future occurrences of the violation. Maintain appropriate reporting systems for all violations.
  • Maintain key regulatory relationships and provide coordination, oversight and administration of the company’s interaction with and reporting to regulators.
  • Provide oversight and administration of compliance audits and legal enquiries from governing boards or other regulatory authorities.
  • Recruit and train of qualified compliance officers and other staff with the requisite knowledge and experience to effectively implement the compliance program and carry out compliance-related duties.

Desired Qualifications

  • Undergraduate degree, with preference for graduate degree in law (J.D.) or business administration (M.B.A.);
  • Minimum of fiveyears of relevant experience with development and administration of company-wide compliance program within the Canadian insurance ecosystem;
  • Prior managerial experience in administration of a compliance department, including development of compliance policies, oversight and implementation of risk assessment procedures and training programs;
  • Knowledge and understanding of life insurance compliance and regulatory issues, including variable and fixed annuities, mortality-based insurance, and insurance products, along with knowledge and understanding of applicable securities rules and regulations;
  • Demonstrated ability to influence and work effectively with employees at all levels;
  • Strong ability to coach, mentor and provide ongoing development to direct reports through needs assessments, on-the-job feedback and training that creates a culture focused on Advisor education, compliance best practices and service excellence;
  • Experience fostering an environment of teamwork to ensure collaboration across all areas of the organization and the development of strong trust-based relationships with product providers.

Please note that at present, legal eligibility to work in Canada is a prerequisite for this role.

This open role is currently being featured by Thorek/Scott and Partners We highlight a variety of open roles every week. If you save this position to apply to later, it may appear closed when you revisit it. For a full list of all open positions, please visit

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We appreciate your interest in this role.

In sharing your resume, you place your trust in us to treat you with integrity and respect and act in your best interests. All resumes will be held in the strictest of confidence. Those who most closely meet our client’s requirements will be contacted for an interview.

Please pass this opportunity forward. We welcome all referrals should someone in your network benefit from this opportunity.

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