Compliance Program Director for Financial Institutions

6 days ago

Greater Toronto Area, Canada LHH Full time
About the Role

We are seeking a highly experienced Compliance Program Director to lead our compliance program and team responsible for supervision programs for Wellington-Altus Private Wealth, Wellington-Altus Private Counsel, and Wellington-Altus USA. The successful candidate will be responsible for building and maintaining an efficient and effective program of supervision to ensure regulatory requirements, internal policies, and procedures are adhered to.

Key Responsibilities
  • Lead the WAPW Compliance & Supervision program, working with our CIRO dealer for tier 1 and 2 supervision, marketing, and AML monitoring.
  • Provide advisory support for technology changes and strategic initiatives as related to managed programs and other business advancements within WAPW.
  • Participate in Managed Product and Managed Account Committee Meetings.
  • Couch and lead a team of people leaders & compliance supervisors to administer a risk-based compliance program, leveraging technology and influencing best practices.
  • Responsible for driving the overall Compliance Program for WAPC and WA USA, including Investment Advisor education, registration, regulatory filings, compliance policies and procedures.
  • Provide compliance support for business through training Supervisors, attending leadership meetings, and working with advisor teams.
  • Coaching and leading supervisory staff.
Requirements

The ideal candidate will have:

  • Experience leading high performing teams in a rapidly evolving, complex work environment.
  • Experience leveraging innovation and technology in designing effective compliance programs.
  • Exemplary interpersonal and influencing skills; an ability to communicate effectively and work collaboratively, across multiple mediums.
  • Proven analytical and problem-solving skills and demonstrated sound professional judgement.
  • A high tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.
About LHH Knightsbridge

LHH helps organizations simplify the complexity associated with transforming their leadership and workforce so they can accelerate results, with less risk. As global leaders in Talent and Leadership Development, Career Solutions and Executive, Interim and Mid-Level Search, we assist organizations in finding new talent, and helping their employees navigate change, become better leaders, develop better careers, and transition into new jobs.

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