Chief Compliance Officer

7 days ago

Montreal, Quebec, Canada TWMG Inc. Full time

3 days ago Be among the first 25 applicants

Seeking position of a Compliance Officer who will be responsible for ensuring the operation of TWMG Inc. meets and exceeds the standards, policies and procedures established by TWMG Inc. and by the Regulatory bodies, in all matters relating to compliance. The Chief Compliance Officer will manage the compliance department and lead the Branch Manager in the development and implementation of measures designed to make TWMG Inc. a leader in the industry.

RESPONSIBILITIES

  • Provide timely and on-going information regarding compliance policies and practices to all Department and Branch Managers to assist them in carrying out their mandates and the continuous improvement of the organization;
  • Conduct audits regularly to ensure representatives are meeting standards;
  • Prepare reports for Regulators, UDP, Board of Directors and Branch Managers;
  • Take responsibility for ensuring the organization is compliant at all times;
  • Develop and present training programs, in conjunction with the back-office Team;
  • Develop and update the organization's Policies & Procedures Manual – hold regular compliance meetings with the back-office and develop and distribute compliance related material to representatives and staff;
  • Interact with all regulators to ensure TWMG Inc. meets the standards in each province and to voice concerns on behalf of TWMG Inc.;
  • Ensure the flow of compliance related information throughout the organization, specifically to the Board of Directors and Head Office staff;
  • Report to the CEO weekly on all activities.

CORE COMPETENCIES

The Chief Compliance Officer must possess the following skills, knowledge, and abilities:

  • A broad and in-depth involvement in and knowledge of financial services industry matters;
  • Ability to work in a team environment;
  • Effective problem-solving skill;
  • Ability to communicate effectively at all levels within and outside the organization;
  • Sound analytical skills;
  • Ability to thoroughly research and report on TWMG Inc. activities.

EDUCATION AND EXPERIENCE

  • Appropriate professional designations (Mutual Funds Course, Branch Manager Course or equivalent compliance course);
  • Officers', Partners', and Directors' Course (OPD) - IFSE;
  • Minimum two (2) years of experience.
  • Generous Paid Time Off for work-life balance;
  • Flexible Hours to support personal needs.

Job Type: Full-time

Starting Salary: $60,000

Schedule:

  • Monday to Friday
Seniority level
  • Executive
Employment type
  • Full-time
Job function
  • Legal
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