Assistant Chief Compliance Officer

Assistant Chief Compliance Officer- Empire Life Investments Inc.Location: Toronto, ONThe 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.Why pursue this opportunityOur mission - Provide expertise and intelligent solutions to help Canadians navigate life with confidence.Assume a pivotal leadership position - harness your expertise to deliver impactful results, shaping and leading your area with experienced foresight.Influence and innovate at the highest level - we welcome leaders who bring a dynamic blend of fresh perspectives and leading practices to steer our strategic course.What you’ll be working onPolicy and Procedure DevelopmentConduct annual reviews and updates of policies and proceduresCollaborate with external counsel to draft new or refine policies Provide training on policies, as requiredCompliance ReportingPrepare quarterly reports for the Board and the Independent Advisory Committee and an annual CCO reportMaintain the Compliance Dashboard and provide compliance reporting to the UDPFile personal trading reports monthly and quarterlyRegulatory FilingsManage and file regulatory submissions including financial statements, Form 31-103F1, Form 45-106F1Renew legal entity identifiers (LEIs)Ensure compliance with Canadian sanctions and terrorism reportingLiaise with regulators on compliance and regulatory mattersSupervision of Investment and Trading ActivitiesOversee trading practices to ensure adherence to best execution, fair allocation, trade supervision/monitoring, correction of trade errors, and prohibited/cross‑trading policiesConduct semi-annual reviews of broker commission allocationsMonitor and test client account investment restrictions and regulatory requirements Report deficiencies with recommended corrective action. Conduct ongoing evaluations of accounts and statementsOversee fund accounting reviewsKnow-Your-Client (KYC) and Know-Your-Product (KYP) oversightThird-Party and Outsourced Functions OversightSupervise outsourced services under the Inter-Corporate Services AgreementOversee activities by external service providers Conflict-of-Interest (COI) ManagementMaintain and update the COI MatrixRevise the COI Statement per regulatory requirementsAssess additional controls and monitor complianceRegistration and OnboardingManage individual and corporate registration mattersOnboard international investment dealers, including reviewing policiesRegulatory Research and TrainingConduct regulatory research to address new requirements and emerging issuesPartner with outside legal counsel on compliance mattersDeliver compliance training aligned with new regulationsOtherAs 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 mattersWhat we’re looking for you to haveCFA 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 managerCompletion of the Canadian Securities Course Exam and either the PDO Exam or the Chief Compliance Officers Qualifying ExamDeep understanding and demonstrated application of relevant regulatory frameworksProactively monitors and interprets emerging issues and changes in the regulatory, legal, and business environmentsWell-developed research, analytical, problem solving and decision-making skills Tact, diplomacy and the ability to handle confidential informationAbility to organize and balance multiple tasks and projectsAttention to detail/accuracy 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.Beyond the salaryFor permanent full-time positions, Empire Life offers a comprehensive total rewards package that includes:Competitive salaries with annual pay increasesAnnual bonus program, which recognizes both strong company performance and individual contributions, for non sales positionsCompetitive uncapped commission, for sales positionsA comprehensive employer-funded benefits package starting from day one of employment, that includes life insurance, disability, health and dental and a generous health accountFlexible work arrangements and an annual allotment of personal health days.Four weeks annual vacation from hire dateA defined contribution pension plan with generous employer matchingTop up programs for parental leave and compassionate leaveEmployer-sponsored wellness and recognition programsA cash employee referral programTo learn more about working at Empire Life, visit https://www.empire.ca/workatempire.Get to know usEmpire life is proud to be an equal opportunity employer. We celebrate diversity, are committed to creating an inclusive environment, and welcome everyone to participate in our application process. We encourage those of all backgrounds and experiences to apply, even if you don't believe you meet each unique qualification outlined. 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. If you need this job posting in an alternative format or have any accessibility questions, please contact recruitment@empire.ca .