Chief Compliance Officer

3 weeks ago

Richmond Hill, Canada Global Growth Assets Inc. Full time

**Title: Chief Compliance Officer (CCO) Location: Richmond Hill - Head Office Division: Global Growth Assets Inc. (“GGAI”) Reports to: Chief Executive Officer (CEO)**

GGAI is registered as an Investment Fund Manager (IFM) and oversees two product lines. It acts as the IFM for an open-ended mutual fund, Global Iman Fund (GIF) distributed across Canada through various IIROC and MFDA dealers and two RESP scholarship plans, Advanced Education Saving Plan (AESP) and Legacy Education Savings Plan (LESP).

**Job Summary**:
The CCO has an objective of promoting compliance at firms and set industry standards. Compliance means establishing effective supervision and control of the firm’s activities to ensure it complies with applicable laws and regulations. The CCO must ensure the firm's supervision and overall compliance program is adequate to achieve this result. The compliance program needs to be carefully designed as to identify situations in which legal or other violations of securities legislation are prevented. The CCO cannot reasonably design and oversee a compliance program without also accounting for and prudently managing the risks of the firm's business.

**Key Responsibilities will include but not limited to**:

- Establish and maintain policies and procedures for assessing compliance by the firm, and individuals acting on its behalf, with securities legislation;
- Monitor and assess compliance by the firm, and individuals acting on its behalf, with securities legislation;
- Report to the ultimate designated person of the firm as soon as possible if the chief compliance officer becomes aware of any circumstances indicating that the firm, or any individual acting on its behalf, may be in non-compliance with securities legislation;
- Submit an annual report to the firm’s Board of Directors for the purpose of assessing compliance by the firm, and individuals acting on its behalf, with securities legislation, in addition to monthly reporting to the Board of Directors.
- Act as liaison with regulators and other industry counterparts in gathering practical and technical knowledge about various compliance issues;
- Respond to requests for information from various regulators;
- Provide compliance support as required on various compliance or management projects or new initiatives;
- Build effective relationships with applicable securities regulators
- Responsible to audit and oversee third-party service providers and external portfolio managers of the firm’s funds to ensure compliance
- Respond to requests from internal departments on various compliance issues;
- Management of regulatory and corporate audit process, including preparation of requested material and management responses to findings;
- Annual review of compliance infrastructure and report to UDP for compliance certification filling, if required;
- Participate and represent the firm at various conferences, seminars, and industry committees in an effort to stay abreast of new and upcoming regulations and best practices, and to be aware of regulatory “hot issues”;
- Complete or confirm completion of regulatory filings
- Continually upgrade professional education as required by regulators

**Requirements**:

- University Degree preferably in commerce, business administration, or law;
- Experience at a senior compliance capacity within the securities industry;
- Thorough knowledge and understanding of applicable securities regulations, with superior understanding of NI 31-103, NI 81-101, NI 81-102, NI 81-107 and Form41-101F3;
- Satisfies the proficiency requirements of the Ontario Securities Commission for registration as CCO for an Investment Fund Manager

**Competencies and Attributes**:

- Ability to interpret rules and regulations;
- Attention to detail and analysis;
- Risk assessment capabilities;
- Superior interpersonal and communication skills;
- Aptitude for technological advancements as a way to improve efficiencies and effectiveness;
- Knowledgeable on the current industry and regulatory landscape
- Ability to accept and adapt to change
- Ability to work in changing and fast-paced and changing environment-Manage numerous demands for resources that need to be prioritized within tight timelines

Compensation - Attractive salary and benefits package based on qualifications and experience.

Flexible Language Requirement:

- English not required

Schedule:

- Monday to Friday

**Education**:

- Bachelor's Degree (preferred)

Work Location: Hybrid remote in Richmond Hill, ON

Application deadline: 2023-03-17

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