Director, Compliance Modernization

4 weeks ago

Toronto, Canada CIRO OCRI Full time

**Position Title: Director, Compliance Modernization Group**

**Department: Business Conduct Compliance/Financial & Operations**Compliance/Trading Conduct Compliance**

**Location: Toronto**

**Status: Permanent Full-time (Hybrid)**

**Day in the life of**:
The Director, Compliance Modernization Group (CMG) assists the Vice-Presidents of Business Conduct Compliance, Financial & Operations Compliance and Trading Conduct Compliance in the management of all functional responsibilities on a national basis and is responsible for managing the overall operations of the CMG.

**Core Responsibilities**:

- Lead a team of compliance professionals supporting the compliance functions across BCC, TCC and FinOps
- Build and maintain an effective CMG, develop long-term planning and contribute to Compliance strategic objectives and compliance departments’ effectiveness
- Collaborate with BCC, TCC and FinOps to enhance, harmonize and modernize the compliance programs
- Identify opportunities to improve the operations of the compliance groups to increase effectiveness and implement changes as required
- Oversee the implementation and evolution of the technology used within the compliance groups
- Act as a thought leader in driving innovation and implementing leading-edge technologies in support of compliance business objectives
- Guide and direct technology resources and vendors to deliver on business needs
- Manage vendor relationships
- Manage internal relationships with Compliance, IT, Data Analytics and other departments as needed
- Support the execution of sweeps and surveys
- Execute and oversee the annual risk questionnaire and risk trend report processes
- Support and facilitate internal and external audits
- Oversee and manage the use of compliance systems including the training programs, program updates, continuous improvement
- Oversee the collection, analysis and compilation of compliance related data
- Develop and deliver training program for onboarding new staff and as needed, provide training on new processes/technology implementations
- Ensure quality assurance standards and administrative procedures are harmonized across the country and compliance groups
- Act as the Data Steward representative for the compliance groups which includes working closely with Information Securities and identifying and prioritizing critical business processes and cataloguing business terms and metadata
- Lead ad-hoc projects/initiatives as assigned
- Manage effective selection, management and development of department staff

**Skills and Competencies**:

- University degree
- Completion of Canadian Securities Course, and Examination based on the Conduct and Practices Handbook for Securities Industry Professionals, Derivatives Fundamental Course, Branch Managers Course, Chief Compliance Officers Course, Partners, Directors and Senior Officers Examination
- Seven to ten years securities industry experience in compliance related field
- At least five years management experience
- Extensive knowledge of securities industry, CIRO Members and their activities
- Excellent communication, writing and presentation skills
- Excellent organizational skills
- Change management and business process improvement skills
- Strong interpersonal skills and ability to influence and to effectively engage with senior management and business heads
- Strong management and staff development skills
- Ability to work well with, motivate, coach and counsel colleagues and subordinates
- Ability to identify issues, evaluate and provide advice on alternative approaches
- Strong understanding of the various departments at CIRO to be able to efficiently source information and advice
- Experience with policy development and implementation
- Strong aptitude for new technology
- Attention to detail and ability to exercise sound judgement
- Ability to challenge the status quo
- Motivated to make a difference

**What we offer**:

- Competitive base salary in alignment with market
- Performance based bonus
- Hybrid work environment
- Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one.
- Defined Contribution Pension Plan with company matching that starts on your first day of employment.
- Paid flex days and sick days
- Vacation days
- Maternity Leave Of Absence /Paternity Leave Of Absence top up
- Paid continuous learning and continuing development including designations.

**Why the Canadian Investment Regulatory Organization (CIRO)**:
**Our purpose and our impact**

With offices across Canada - from Vancouver to Montreal, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. As a regulator, we understand that we are all investors. Therefore, a career with us is a career with purpose, protecting our future.

**Culture and Working Environment**

Life at CIRO is purpose and performance
- dri

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