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Chief Compliance Officer
2 months ago
Company Description
Optimize Financial Group is in the process of establishing a CIRO Dealer, separate from Optimize Wealth Management, to further help individual clients achieve their financial goals. Our CIRO Dealer will offer personalized financial solutions covering financial planning, portfolio management, tax preparation, debt management, and estate planning. Our holistic approach, independence, and personalized service set us apart in the industry, prioritizing honesty, persistence, teamwork, and excellence.
Role Description
This is a full-time on-site role for a Chief Compliance Officer at our CIRO Dealer. The Chief Compliance Officer will be responsible for overseeing compliance management, ensuring regulatory compliance, utilizing analytical skills, effective communication, and financial expertise in managing compliance-related tasks on a day-to-day basis.
Role and Responsibilities
Reporting to the CEO and UDP, the Chief Compliance Officer of our CIRO Dealer will be responsible for managing the firm’s compliance with ongoing regulatory requirements and internal policies and procedures, including:
• Supervision of all activities that are directed towards compliance with applicable regulatory bodies and legislation; maintain regulatory approval/registration as CCO.
• Lead the evolution of the Firm’s s compliance and supervision framework to ensure that it meets all regulatory and legislative requirements and identify and prevent violations of regulatory requirements by the firm, employees, and clients through risk assessments and supervision.
• Effectively manage relationships with external regulatory bodies, support to all regulatory audits and timely remediation of compliance issues identified.
• Serve as the designated privacy officer and Chief Anti-Money Laundering Officer and act as primary point of contact for the bi-annual independent reviews of the anti-money laundering program in accordance with FINTRAC requirements.
• Supervision of registered individuals including oversight of registration and jurisdiction categories.
• Focusing on the client's best interests, lead and oversee daily supervision of account opening and updates (including adherence to Know Your Client, Know Your Product, and suitability), supervision and monitoring of trading and portfolio management, personal account dealing approval procedures and policies linked to market abuse controls, and ongoing assessment and management of conflicts of interests.
• Act as a knowledge resource to client facing team to ensure products and services are delivered in a compliant manner.
• Timely submission of accurate regulatory reporting and coordinating registrations.
• Identify compliance training needs, develop, and deliver compliance training, including ensuring registered and unregistered client-facing employees have the appropriate training.
• Partnering with the business to review the design and structuring of specific transactions, new products, services, operational procedures, operational change, and initiatives.
• Managing relationships with custodians, brokers, data providers, and other operational and compliance service providers.
• Create and deliver an annual Compliance Plan and oversee and support monitoring activities in line with the Compliance Plan ensuring that remedial action is taken, and that material issues, incidents, and breaches are escalated to relevant stakeholders.
• Submit an annual report to the Board of Directors for the purpose of assessing compliance by the firm and individuals acting on its behalf, with securities legislation.
• Champion compliance, align the department's activities and responsibilities with the firm's strategic direction, support and provide pragmatic risk-based advice, and counsel to all appropriate stakeholders.
• Provide guidance and advice to business management in developing appropriate 'tone from the top' and awareness of required business conduct and ethical standards.
• Support the Ultimate Designated Person, Boards, and Governance Committees via compliance management information reporting, ad hoc communications, and guidance as necessary.
• Maintain a trusted environment where employees can report risk and compliance issues and concerns to the CCO.
Registrations
• The ability to serve as Chief Compliance Officer of a CIRO Dealer is a requirement of the role.
• Relevant CSI courses as required by securities commission to be registered as a Chief Compliance Officer and Supervisor (e.g., Canadian Securities Course, Chief Compliance Officers Qualifying Exam, PDO and relevant continuing education courses).
Qualifications
• 10+ years of relevant securities industry and professional experience, including senior compliance and risk management roles and experience dealing with regulators.
• Previously registered as CCO.
• Strong knowledge of securities industry’s regulatory compliance practices, procedures and principles applicable to securities legislation and regulation.
• Strong digital skills, including advanced Excel, comfort with remote technologies, and experience using a variety of third-party software.
• University degree in a related field of finance or economics, Law degree or professional designation (e.g., CFA, Chartered Accountant, or CIM) is a plus.
• Ability to establish credibility, and partner and collaborate with, and influence stakeholders to extract time and resource commitments, with and without authority, across the organization.
• Ability to thrive in a dynamic, fast-paced environment, and take on a variety of tasks and challenges
• Diligent, organized, and with a strong attention to details.
• Ability to work under minimal supervision.
- Team player with strong written and verbal communication skill.
