Chief Compliance Officer

7 days ago

Richmond Hill, Ontario, Canada VirgoCX Inc Full time

Company Overview:
Arxnovum is a rapidly growing Canadian wealth management firm committed to delivering exceptional financial services to our clients.

With a focus on personalized and tailored solutions, we provide comprehensive investment management, financial planning, and advisory services to individuals, families, and businesses.


Position Overview:

As the Chief Compliance Officer (CCO), you will be a key member of our leadership team, responsible for overseeing and implementing the company's compliance program.

Your role will be critical in ensuring that Arxnovum complies with all relevant laws, regulations, and industry standards, while also upholding the highest ethical standards in our operations.

As a CCO, you will play a pivotal role in safeguarding our clients' interests, maintaining their trust, and promoting a culture of compliance within the organization.


Responsibilities:

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Compliance Oversight: Provide strategic direction and leadership for the development, implementation, and maintenance of the company's compliance program. Regularly assess and update policies, procedures, and internal controls to align with evolving regulatory requirements.
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Regulatory Compliance: Monitor and interpret relevant securities laws, regulations, and guidelines issued by regulatory bodies such as the Investment Industry Regulatory Organization of Canada (IIROC) and the Canadian Securities Administrators (CSA). Ensure the company's activities are fully compliant with these standards.
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Risk Management: Identify, assess, and manage compliance risks, both internal and external. Develop risk mitigation strategies and maintain a strong risk culture throughout the organization.
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Education and Training: Conduct regular compliance training for employees to promote awareness and understanding of regulatory requirements and best practices. Ensure all staff members are up-to-date with compliance-related matters.
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Regulatory Reporting: Prepare and submit necessary reports to regulatory authorities as required. Oversee the timely and accurate filing of regulatory documents and disclosures.
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Internal Monitoring and Auditing: Perform periodic compliance testing and internal audits to evaluate the effectiveness of the compliance program. Address any deficiencies and recommend corrective actions.
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Compliance Incident Management: Establish procedures for reporting and addressing compliance violations or suspected misconduct. Investigate and resolve compliance-related incidents, implementing appropriate disciplinary measures when necessary.
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Client Due Diligence: Oversee the Know Your Client (KYC) and Anti-Money Laundering (AML) processes to ensure proper client identification and risk assessment.
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Relationship with Regulators: Serve as the primary point of contact for regulatory agencies and respond to inquiries, examinations, and audits.
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Ethics and Integrity: Promote a culture of ethics, integrity, and accountability within the organization. Lead by example and foster a commitment to compliance among all employees.

Qualifications:

  • Bachelor's degree in Finance, Business Administration, Law, or a related field.
  • Passed Chief Compliance Officer Qualifying Exam.
  • Proven experience as a Compliance Officer or a similar role within the financial services industry, preferably in wealth management or investment advisory.
  • Thorough knowledge of Canadian securities regulations, including IIROC and CSA rules.
  • Excellent communication and interpersonal skills to liaise effectively with internal teams, clients, and regulatory authorities.
  • Demonstrated leadership abilities and the capacity to build a compliant culture within the organization.
  • Sound judgment and the ability to make decisions that align with both business objectives and compliance obligations.
  • Detailoriented with exceptional organizational and time management skills.
  • Ethical mindset and a commitment to promoting the best interests of clients and the company.

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