Compliance Leadership Director
2 days ago
HUB International is a leading full-service global insurance broker and financial services firm offering tailored risk management, insurance, employee benefits, retirement, and wealth management solutions.
As the Compliance Leadership Director at HUB Capital, you will be responsible for ensuring our organization operates within regulatory requirements and industry standards. You will lead the National Compliance Team in managing regulatory affairs across Canada, staying current with applicable legislations, regulations, and policies. This role requires a deep understanding of financial products, strategies, regulations, and industry best practices.
About the Role- Provide strategic leadership to the HUB Management team on all compliance issues and risk management.
- Implement corporate policies and procedures, ensuring their adherence across Canada.
- Manage regulatory affairs, including reporting to regulatory bodies and maintaining key regulatory relationships.
In this role, you will also serve as the primary point of escalation for managing client complaints and advisor inquiries, responding appropriately to regulatory bodies and OBSI. Additionally, you will report to the HUB Capital Board of Directors on all compliance matters quarterly.
RequirementsTo succeed in this role, you will need:
- A proven track record of leadership in compliance, with a minimum of 10 years' experience in an industry-related compliance capacity.
- Chief Compliance Officer (CCO) proficiency and related experience.
- Experience with the Canadian Investments Regulatory Organization (CIRO) specific to mutual fund dealer member operations.
- Experience with the Investment Industry Regulatory Organization of Canada (IIROC) is an asset.
We offer a competitive salary of approximately $120,000 - $180,000 per year, depending on location and experience. This position is based in North America, and we are open to discussing remote work arrangements. If you are interested in growing your career with HUB International, please visit our Careers Page to explore our opportunities.
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