Assistant Chief Compliance Officer

Assistant Chief Compliance Officer- Empire Life Investments Inc. The Assistant Chief Compliance Officer (ACCO) for Empire Life Investments Inc. will report directly to the Chief Compliance Officer (CCO) and be positioned as the named successor to the CCO role. The ACCO will work closely with the CCO to support and develop the firm’s compliance program, assuming greater responsibility over time with the goal of transitioning into the Chief Compliance Officer position. This individual will assist in overseeing compliance activities, ensuring alignment with regulatory requirements, and maintaining internal adherence to policies. The role involves policy development, compliance monitoring, oversight of trading and operational activities, and acting as a trusted advisor on regulatory matters. The ACCO will also collaborate with internal stakeholders, including Empire Life’s Compliance function, and external counsel to sustain a strong compliance culture across all areas of the organization.

Our mission - Provide expertise and intelligent solutions to help Canadians navigate life with confidence.
Policy and Procedure Development
Conduct annual reviews and updates of policies and procedures
Collaborate with external counsel to draft new or refine policies
Provide training on policies, as required
Compliance Reporting
Prepare quarterly reports for the Board and the Independent Advisory Committee and an annual CCO report
Maintain the Compliance Dashboard and provide compliance reporting to the UDP
File personal trading reports monthly and quarterly
Regulatory Filings
Manage and file regulatory submissions including financial statements, Form 31-103F1, Form 45-106F1
Renew legal entity identifiers (LEIs)
Ensure compliance with Canadian sanctions and terrorism reporting
Liaise with regulators on compliance and regulatory matters
Supervision of Investment and Trading Activities
Oversee trading practices to ensure adherence to best execution, fair allocation, trade supervision/monitoring, correction of trade errors, and prohibited/cross‑trading policies
Monitor and test client account investment restrictions and regulatory requirements
Conduct ongoing evaluations of accounts and statements
Third-Party and Outsourced Functions Oversight
Supervise outsourced services under the Inter-Corporate Services Agreement
Revise the COI Statement per regulatory requirements
Assess additional controls and monitor compliance
Manage individual and corporate registration matters
Onboard international investment dealers, including reviewing policies
Regulatory Research and Training
Conduct regulatory research to address new requirements and emerging issues
Partner with outside legal counsel on compliance matters
Deliver compliance training aligned with new regulations
As a Business Unit Compliance Officer (BUCOs) within Empire Life, provide reporting on compliance to the Vice-President and CCO of Empire Life and participate in meetings with Legal and Compliance team members on compliance matters


CFA Charter or professional designation as a lawyer, CA or CGA or CMA
Minimum of 5 to 10 years working in a compliance capacity at an investment dealer, a registered advisor or investment fund manager OR equivalent experience while working at a registered dealer, a registered advisor or investment fund manager
Completion of the Canadian Securities Course Exam and either the PDO Exam or the Chief Compliance Officers Qualifying Exam
Deep understanding and demonstrated application of relevant regulatory frameworks
Proactively monitors and interprets emerging issues and changes in the regulatory, legal, and business environments
Ability to organize and balance multiple tasks and projects
If you are applying for a position which is open to applicants across Canada, unless otherwise indicated in the position, language proficiency in English is required for communicating with customers, advisors, or employees across Canada.

For permanent full-time positions, Empire Life offers a comprehensive total rewards package that includes:
Competitive salaries with annual pay increases
Annual bonus program, which recognizes both strong company performance and individual contributions, for non sales positions
A comprehensive employer-funded benefits package starting from day one of employment, that includes life insurance, disability, health and dental and a generous health account
Flexible work arrangements and an annual allotment of personal health days.
Four weeks annual vacation from hire date
A defined contribution pension plan with generous employer matching
Top up programs for parental leave and compassionate leave
We celebrate diversity, are committed to creating an inclusive environment, and welcome everyone to participate in our application process. Applicants will receive equal consideration without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, disability, or age.
Empire Life welcomes applications from people with disabilities and disabled people. Accommodations are available upon request for candidates taking part in all aspects of the screening and selection process.