Chief Compliance Officer

2 weeks ago

Toronto, Canada Admiral Markets Full time

Admiral Markets Canada Limited ("Admirals Canada") is a registered investment dealer, Member of the Investment Industry Regulatory Organization of Canada (IIROC) and Canadian Investor Protection Fund (CIPF). We are a member of Admirals Group AS.

The firm is an order-execution-only (OEO) dealer in "contracts for difference" and over-the-counter (OTC) foreign exchange contracts (collectively, CFDs) with retail investors in B.C. and Ontario.

As a financial services Group Admiral has been operating successfully for 22 years and has been on the top of trust of traders and investors. Its is a multiregulated company with several licenses acrcoss the globe.

**Your Role**
- Registration Categories_: Permitted Individuals - Officer; Investment Dealer - Chief Compliance Officer _IIROC Approval Categories_:Executive (Non-Trading), Chief Compliance Officer)

**Competency Profile**
- Compliance Function and Operations
- Fundamental regulatory and industry knowledge
- Role, mandate and oversight of the compliance department
- Risk Management
- Compliance risk management
- Business functions and compliance risk
- Regulatory Reporting, Examinations, Investigations and Actions
- Regulatory reporting
- Regulatory examinations
- Regulatory investigations
- Regulatory action
- Compliance Responsibilities
- Policies and Procedures (P&P)
- Complaint handling
- Dealing with clients
- CCO Duties and Obligations

**Your Responsibilities**

As theChief Compliance Officer**, **you are responsible for the compliance oversight of the firm and individuals acting on its behalf and, in particular:

- establishing and maintaining policies and procedures to assess compliance by the firm and individuals working on its behalf with IIROC requirements and securities laws;
- monitoring and assessing compliance by the firm and individualsacting on its behalf with IIROC requirements and securities laws;
- reporting to the Ultimate Designated Personas soon as possible if there is any indication that
- providing the board of directors with reasonable assurance that all standards and requirements of applicable securities laws and regulations, and IIROC requirements, are met**;**:

- delivering an annual report to the board of directors that identifies and discusses material findings contained within IIROC compliance reports, early warning designations, gatekeeper reports, disciplinary actions, compliance risk trend report results as well as any other relevant findings or reports;
- taking a lead role to identify, assess, advise on, act on, communicate, monitor, escalate and report on the firm's compliance with regulatory requirements; and
- promoting a strong culture of compliance, which focuses not only on compliance with applicable rules and regulations but also emphasizes the importance of personal integrity and the need to deal with clients fairly, honestly and in good faith at all times.

the firm or any individual acting on its behalf may be in non-compliance with IIROC requirements or securities laws, and
- the non-compliance creates a reasonable risk of harm to a client;
- the non-compliance creates a reasonable risk of harm to the capital markets; and
- the non-compliance is part of a pattern of non-compliance;
**Requirements**:
**Proficiency Requirement**

Successful completion of the following courses:

- Partners, Directors and Senior Officers Course;
- Chief Compliance Officers Qualifying Examination

and

**Experience Requirement**
- Undergraduate degree or equivalent (background in brokerage operations, finance, compliance, law or audit).
- 5+ years of experience working as a Registrant or Approved Person at an investment dealer, with at least three years in a compliance or supervisory capacity.
- Extensive working knowledge of Canadian securities laws and regulatory requirements, including National and Multilateral Instruments, provincial Securities Acts_,_ OSC Regulations, and IIROC Rules and Guidance.
- Extensive working knowledge of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and its Regulations, FINTRAC AML/ATF Regime, Canada's privacy laws and Canada's anti-spam legislation that impact the business.
- Extensive working knowledge of exchange and over-the-counter derivatives, US and EU listed equities, indices, commodities, currencies, bonds and trading on margin.
- Experience with participating in IIROC's financial and operations examination, business conduct compliance examination, cybersecurity self-assessment survey, annual risk questionnaire; and responding to requests for documents related to the firm's business continuity plan audit; and annual financial statement audits, etc.
- Self-driven with exceptional analytical and problem-solving skills, high level of attention to detail; able to work extended hours, manage multiple complex projects simultaneously, collaborate with teams and business units across time zones and remain composed under pressure.
- Excellent written and oral communica

  • Chief Compliance Officer

    2 weeks ago

    Toronto, Canada Peak6 Full time

    Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, to simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech solutions enables us to support clients such as Stash, Betterment, SoFi, and WeBull, and more than 20 million of our...

  • Chief Compliance Officer

    2 weeks ago

    Toronto, Canada Apex Clearing Full time

    Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, to simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech solutions enables us to support clients such as Stash, Betterment, SoFi, and WeBull, and more than 20 million of our...

  • Deputy Chief Operating Officer, Compliance

    4 days ago

    Toronto, Canada AGCO Full time

    **Position Title**: Deputy Chief Operating Officer, Compliance **Term**: Permanent, Full-time **Division/Branch**: Operations Division / COO Office **Application Deadline**: February 16, 2024 **Level**: Level 15 **Salary Range**: Min: $146,097 to Max: $182,617 **Work Location**: Head Office, Toronto, ON; Hybrid The Alcohol and Gaming Commission of Ontario...

  • Counsel and Chief Compliance Officer

    2 months ago

    Toronto, Canada Bridgehouse Full time

    As an integral part of the Bridgehouse (BIPCo) executive leadership team and reporting to the President & CEO, the role of Counsel and CCO takes both a strategic and hands-on approach to the legal aspects of significant corporate initiatives, including: continuous disclosure for the Funds, new product development, reorganizations and strategic relationships,...

  • Counsel and Chief Compliance Officer

    1 week ago

    Toronto, Ontario, Canada Bridgehouse Full time

    As an integral part of the Bridgehouse (BIPCo) executive leadership team and reporting to the President & CEO, the role of Counsel and CCO takes both a strategic and hands-on approach to the legal aspects of significant corporate initiatives, including: continuous disclosure for the Funds, new product development, reorganizations and strategic relationships,...

  • Chief Compliance Officer, Wtw Investment Management

    3 weeks ago

    Toronto, Canada WTW Full time

    Chief Compliance Officer, WTW Investment Management Canada - Toronto, CA August 24, 2023 Would you like to help drive the growth of a global company that works with 91% of the Fortune Global 500? Do you have a passion for building relationships and providing pragmatic advice to senior business leaders? Do you have significant investments compliance...

  • Chief Compliance Officer

    2 weeks ago

    Toronto, Canada Agentis Capital Full time

    **Our Firm**: Agentis Capital a fast-growing, global independent financial firm with a leading reputation for insightful analysis and exceptional execution. Agentis is dedicated to providing our clients with transparent, comprehensive financial services that unlock value at every stage. We advise across a multitude of sectors and geographies, for global...

  • Chief Compliance Officer, Wtw Investment Management

    1 week ago

    Toronto, Ontario, Canada WTW Full time

    Chief Compliance Officer, WTW Investment Management Canada Toronto, CAAugust 24, 2023Would you like to help drive the growth of a global company that works with 91% of the Fortune Global 500? Do you have a passion for building relationships and providing pragmatic advice to senior business leaders? Do you have significant investments compliance experience?...

  • Chief Compliance Officer

    2 months ago

    Toronto, Canada FLEETCOR Full time

    Chief Compliance Officer, Cross-Border Payments **Our Company & Purpose**: Corpay is a global leader in business payments, helping companies of all sizes better track, manage and pay their expenses. Our products eliminate manual and disjointed processes and deliver digital payments with speed and controls that minimize risk. Corpay provides customers with a...

  • Chief Compliance Officer

    3 weeks ago

    Toronto, Canada FLEETCOR Full time

    Chief Compliance Officer, Cross-Border Payments **Our Company & Purpose**: Corpay is a global leader in business payments, helping companies of all sizes better track, manage and pay their expenses. Our products eliminate manual and disjointed processes and deliver digital payments with speed and controls that minimize risk. Corpay provides customers with a...

  • Deputy Chief Operating Officer, Compliance

    4 days ago

    Toronto, Canada Alcohol and Gaming Commission of Ontario Full time

    The Alcohol and Gaming Commission of Ontario (AGCO) is a regulatory agency charged with regulating the province's dynamic alcohol, cannabis, gaming, and horse racing industries. All four industries are evolving at a rapid pace due to significant expansion, digitization, and regulatory modernization over the last decade. The AGCO is seeking a highly...

  • Chief Compliance Officer

    1 week ago

    Toronto, Ontario, Canada FLEETCOR Full time

    Chief Compliance Officer, Cross-Border PaymentsOur Company & Purpose:Corpay is a global leader in business payments, helping companies of all sizes better track, manage and pay their expenses. Our products eliminate manual and disjointed processes and deliver digital payments with speed and controls that minimize risk. Corpay provides customers with a...

  • Avp, Compliance, Wealth and Chief Compliance

    2 weeks ago

    Toronto, Canada TD Bank Full time

    **TD Description** Stay current and competitive. Carve out a career for yourself. Grow with us. **Department Overview** - The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and...

  • Rjlu Compliance Officer

    3 weeks ago

    Toronto, Canada Raymond James Financial Full time

    **RJLU Compliance Officer** - 2302911 - At Raymond James,_ _**_we_**_ _**_develop,_ _**_we_**_ _**_collaborate,_ _**_we_**_ _**_decide,_ _**_we_**_ _**_deliver, and_ _**_we_**_ _**_improve together_. Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized...

  • Chief Compliance Officer, Rogers Bank

    2 weeks ago

    Toronto, Canada Rogers Communications Full time

    **Who we are**: At Rogers, we connect Canadians to a world of possibilities and the memorable moments that matter most in their lives. Every day we wake up with one purpose in mind. To bring loved ones together from across the globe. To connect people to each other and the world around them. To help an entrepreneur realize their dream. A sports fan...

  • VP, Chief Privacy Officer

    1 week ago

    Toronto, Ontario, Canada FANNIE MAE Full time

    FANNIE MAE VP, Chief Privacy Officer Washington , District Of Columbia Apply Now Job Description The VP, Chief Privacy Officer is responsible for developing and implementing privacy policies, conducting privacy impact assessments, providing employee training on privacy matters, and collaborating with legal and IT teams to safeguard confidential information....

  • Vice-President & Chief Compliance Officer – Independent Advisory Service

    2 weeks ago

    Old Toronto, Canada Wellington-Altus Full time

    Vice-President & Chief Compliance Officer – Independent Advisory Service Vice-President & Chief Compliance Officer – Independent Advisory ServicesLocation: This position will be based out of our Winnipeg or Toronto office.Our organization:Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private...

  • Vice-President & Chief Compliance Officer – Independent Advisory Service

    2 weeks ago

    Old Toronto, Canada Wellington-Altus Full time

    Vice-President & Chief Compliance Officer – Independent Advisory Service Vice-President & Chief Compliance Officer – Independent Advisory ServicesLocation: This position will be based out of our Winnipeg or Toronto office.Our organization:Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private...

  • Vice-President & Chief Compliance Officer – Independent Advisory Service

    1 month ago

    Toronto, Canada Wellington-Altus Full time

    Vice-President & Chief Compliance Officer – Independent Advisory Services Location: This position will be based out of our Winnipeg or Toronto office. Our organization : Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus...

  • Compliance Officer

    3 weeks ago

    Toronto, Canada Scotiabank Full time

    Requisition ID: 178998 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **_ Purpose_** Contributes to the overall success of the Scotia Securities Inc. (SSI) / Global Compliance GWM in Canada ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s...