Current jobs related to Vice-president & Chief Compliance Officer - Winnipeg - Wellington-Altus Private Wealth Inc.

  • Vice-president & Chief Operations Officer

    3 weeks ago

    Winnipeg, Canada Manitoba Public Insurance Full time

    Overview: As a member of the executive leadership team, the Vice President & Chief Operations Officer will provide strategic and operational leadership to MPI’s customer service delivery functions. They will also build strategic relationships and partner with MPI’s 800+ brokers and their associations to provide high-quality, effective, and accessible...

  • President and Chief Executive Officer

    4 months ago

    Winnipeg, Canada Manitoba Hydro Full time

    **President & Chief Executive Officer** A provincial Crown Corporation, Manitoba Hydro is one of the largest electricity and natural gas distribution utilities in Canada and a leader in the generation, transmission and distribution of clean, renewable hydroelectricity and the distribution of reliable, affordable natural gas. Manitoba Hydro is a key driver...

  • Vice-President & Chief Operations Officer

    3 weeks ago

    Winnipeg, Canada the Ladders Full time

    OverviewAs a member of the executive leadership team, the Vice President & Chief Operations Officer will provide strategic and operational leadership to MPI's customer service delivery functions. They will also build strategic relationships and partner with MPI's 800+ brokers and their associations

  • Vice President

    3 weeks ago

    Winnipeg, Canada Manitoba Public Insurance Full time

    Overview As a member of the executive leadership team, the Vice President & Chief Operations Officer will provide strategic and operational leadership to MPI’s customer service delivery functions. They will also build strategic relationships and partner with MPI’s 800+ brokers and their associatio

  • Vice President

    2 weeks ago

    Winnipeg, Canada Manitoba Public Insurance Full time

    Overview As a member of the executive leadership team, the Vice President & Chief Operations Officer will provide strategic and operational leadership to MPI’s customer service delivery functions. They will also build strategic relationships and partner with MPI’s 800+ brokers and their associations

  • Vice President

    5 months ago

    Winnipeg, Canada Manitoba Public Insurance Full time

    Overview: As a member of the executive leadership team, the Vice President & Chief People Officer will provide strategic leadership to the HR and total rewards, talent acquisition, service delivery, knowledge management, enterprise change management, talent management, and learning and development, functions ensuring they support high quality, effective, and...

  • Vice President

    5 months ago

    Winnipeg, Canada Manitoba Public Insurance Full time

    Overview: As part of the executive leadership team, the Vice President & Chief Claims Officer will provide strategic leadership to both the physical damage and injury claims management functions ensuring they support high-quality, effective, and accessible delivery of services to Manitobans. The Vice President will guide the development and implementation...

  • Vice President

    2 weeks ago

    Winnipeg, Canada Manitoba Public Insurance Full time

    Overview As a member of the executive leadership team, the Vice President & Chief Operations Officer will provide strategic and operational leadership to MPI’s customer service delivery functions. They will also build strategic relationships and partner with MPI’s 800+ brokers and their associations to provide high-quality, effective, and accessible...

  • Vice President

    5 months ago

    Winnipeg, Canada Manitoba Public Insurance Full time

    Overview: As a member of the executive leadership team, the Vice President & Chief Customer and Product Officer will provide strategic leadership to the strategy, product management, customer experience, the registrar & product and design, government relations, and communications, brand and marketing, and community relations functions ensuring they support...

  • Executive Vice President

    1 day ago

    Winnipeg, Manitoba, Canada Manitoba Public Insurance Full time

    Job Title: Executive Vice President & Chief Operations OfficerAs a key member of the executive leadership team at Manitoba Public Insurance, the Vice President & Chief Operations Officer will provide strategic and operational leadership to our customer service delivery functions. This role will involve building strategic relationships with our 800+ brokers...

  • Executive Vice President

    1 day ago

    Winnipeg, Manitoba, Canada Manitoba Public Insurance Full time

    Job Title: Executive Vice President & Chief Operations OfficerAs a key member of the executive leadership team at Manitoba Public Insurance, the Vice President & Chief Operations Officer will provide strategic and operational leadership to our customer service delivery functions. This role will involve building strategic relationships with our 800+ brokers...

  • Vice President

    3 weeks ago

    Winnipeg, MB, Canada Manitoba Public Insurance Full time

    OverviewAs a member of the executive leadership team, the Vice President & Chief Operations Officer will provide strategic and operational leadership to MPI’s customer service delivery functions. They will also build strategic relationships and partner with MPI’s 800+ brokers and their associations to provide high-quality, effective, and accessible...

  • Vice President

    3 weeks ago

    Winnipeg, MB, Canada Manitoba Public Insurance Full time

    OverviewAs a member of the executive leadership team, the Vice President & Chief Operations Officer will provide strategic and operational leadership to MPI’s customer service delivery functions. They will also build strategic relationships and partner with MPI’s 800+ brokers and their associations to provide high-quality, effective, and accessible...

  • Vice-President & Chief Operations Officer

    1 week ago

    Winnipeg, Canada Manitoba Public Insurance Full time

    OverviewAs a member of the executive leadership team, the Vice President & Chief Operations Officer will provide strategic and operational leadership to MPI’s customer service delivery functions. They will also build strategic relationships and partner with MPI’s 800+ brokers and their associations to provide high-quality, effective, and accessible...

  • Vice-President & Chief Operations Officer

    1 week ago

    Winnipeg, Canada Manitoba Public Insurance Full time

    OverviewAs a member of the executive leadership team, the Vice President & Chief Operations Officer will provide strategic and operational leadership to MPI’s customer service delivery functions. They will also build strategic relationships and partner with MPI’s 800+ brokers and their associations to provide high-quality, effective, and accessible...

  • Vice President

    3 weeks ago

    Winnipeg, Canada Manitoba Public Insurance Full time

    OverviewAs a member of the executive leadership team, the Vice President & Chief Operations Officer will provide strategic and operational leadership to MPI’s customer service delivery functions. They will also build strategic relationships and partner with MPI’s 800+ brokers and their associations to provide high-quality, effective, and accessible...

  • Vice President

    3 weeks ago

    Winnipeg, Canada Manitoba Public Insurance Full time

    OverviewAs a member of the executive leadership team, the Vice President & Chief Operations Officer will provide strategic and operational leadership to MPI’s customer service delivery functions. They will also build strategic relationships and partner with MPI’s 800+ brokers and their associations to provide high-quality, effective, and accessible...

  • Vice President

    3 weeks ago

    Winnipeg, Canada Manitoba Public Insurance Full time

    OverviewAs a member of the executive leadership team, the Vice President & Chief Operations Officer will provide strategic and operational leadership to MPI’s customer service delivery functions. They will also build strategic relationships and partner with MPI’s 800+ brokers and their associations to provide high-quality, effective, and accessible...

  • Vice President

    1 week ago

    Winnipeg, Canada Manitoba Public Insurance Full time

    OverviewAs a member of the executive leadership team, the Vice President & Chief Operations Officer will provide strategic and operational leadership to MPI’s customer service delivery functions. They will also build strategic relationships and partner with MPI’s 800+ brokers and their associations to provide high-quality, effective, and accessible...

  • Vice President

    3 weeks ago

    Winnipeg, Canada Manitoba Public Insurance Full time

    Overview As a member of the executive leadership team, the Vice President & Chief Operations Officer will provide strategic and operational leadership to MPI’s customer service delivery functions. They will also build strategic relationships and partner with MPI’s 800+ brokers and their associations to provide high-quality, effective, and accessible...

Vice-president & Chief Compliance Officer

4 months ago

Winnipeg, Canada Wellington-Altus Private Wealth Inc. 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 Insurance Inc., Wellington-Altus Group Solutions Inc., Wellington-Altus Asset Management Inc., and Wellington-Altus Private Wealth Inc.—the top-rated* wealth advisory company in Canada and one of Canada’s Best Managed Companies. With more than $25 billion in assets under administration and offices across the country, Wellington-Altus identifies with successful, entrepreneurial advisors and portfolio managers and their high-net-worth clients.
- _Investment Executive 2023 Brokerage Report Card._

**The opportunity**:
Reporting to the Executive Vice-President, Digital Strategy & Compliance, WAFI, the Vice-President & Chief Compliance Officer - Independent Advisory Service’s primary responsibility is to act as the Chief Compliance Officer (CCO) to the Company and will include any responsibilities imposed under applicable laws and the requirement of applicable securities regulatory authorities.

**Key responsibilities include**:

- Gaining the necessary education and certifications required to become registered in the role of CCO.
- Providing expert and strategic regulatory advice to management.
- Setting internal regulatory policies, procedures and controls.
- Evaluating and weighing the impact of decisions or actions on the Company from a regulatory perspective.
- Proactively identifying risks and potential regulatory issues.
- Ensuring identified regulatory risk management priorities are appropriately reflected in the Company’s business plan.
- Representing the Company with external parties, including securities regulatory authorities, self-regulatory organizations, and, if appropriate, clients.
- Staying apprised of regulatory changes and developments.
- Establishing and maintaining policies and procedures for assessing compliance by the Company and the individuals acting on its behalf, as set out in National Instrument 31-103.
- Monitoring and assessing compliance with applicable securities laws and the requirements of applicable self-regulatory organizations and reporting the results of their assessment to the board of directors of the Company at least annually.
- Reporting all material incidents of non-compliance with the Company’s requirements and applicable securities laws to the Company’s CRO and Ultimate Designated Person (UDP) as soon as possible after becoming aware of the matter, including any incidents of non-compliance that creates a reasonable risk of harm to clients, or where non-compliance is part of a pattern of non-compliance.
- For this purpose, the Employee is entitled to have direct access to the UDP and the board of directors of the Company, as needed, to report significant issues as they arise; and
- Providing the board of directors of the Company with reasonable assurance that all standards and requirements of applicable securities laws and regulations, and the Company’s requirements, are met, including the preparation of the annual report to the board of directors which identifies and discusses material findings and deficiencies identified by securities regulatory authorities, disciplinary actions, compliance risk trends as well as any other relevant findings or reports.
- Developing and writing offer documents and fund company operational processes.
- Monitoring the fund company/asset managing activities from a both a compliance and security law perspective on a daily/weekly/monthly basis.
- Remaining in contact and developing ongoing relationships with the MSC and OSC as our principles.
- Performing other duties as assigned.
- A bachelor’s degree in business administration, accounting, finance, or similar field of study; advanced degree preferred.
- A minimum of 15 years’ experience in regulatory compliance or related function.
- 5 years’ experience in a leadership capacity within a fund company supervision role.
- Successful completion of the Officers Partners Directors course and other relevant industry courses
- Completion of CPA certification is a strong asset.
- Working knowledge of both provincial and national securities laws, and other pertinent securities laws and regulations.
- Experience with Canadian regulators, particularly the Canadian Securities Administrators (“CSA”) and OSC.
- Proficiency with the MSOffice suite, including Word, Excel, Powerpoint, Teams, and Outlook.
- 10+ years’ financial services industry experience working in a high growth environment.
- Adaptability to change culture and management.
- Senior leadership capability and ability to provide effective oversight.
- Exceptional organizational and writing skills.
- A proven ability to multi-task and work both independently and a