Compliance Leadership Executive

1 week ago


Greater Toronto Area, Canada LHH Full time
Job Summary
We are seeking a skilled Compliance Leadership Executive to join our team at LHH in Winnipeg or Greater Toronto Area. As a key member of our compliance team, you will be responsible for managing the Compliance program and team responsible for the Supervision programs for Wellington-Altus Private Wealth (WAPW), Wellington-Altus Private Counsel (WAPC), and Wellington-Altus USA (WA USA).

About Us
LHH is a global leader in Talent and Leadership Development, Career Solutions and Executive, Interim and Mid-Level Search. We help organizations simplify the complexity associated with transforming their leadership and workforce so they can accelerate results, with less risk.

Key Responsibilities
The successful candidate will lead the WAPW Compliance & Supervision program, working with our CIRO dealer for tier 1 and 2 supervision, marketing, and AML monitoring. They will provide advisory support for technology changes and strategic initiatives as related to managed programs and other business advancements within WAPW. The candidate will also participate in Managed Product and Managed Account Committee Meetings, coach and lead a team of people leaders & compliance supervisors to administer a risk-based compliance program, leveraging technology and influencing best practices.

Requirements
The ideal candidate will have experience leading high performing teams in a rapidly evolving, complex work environment. They will have experience leveraging innovation and technology in designing effective compliance programs. The candidate should possess exemplary interpersonal and influencing skills, an ability to communicate effectively and work collaboratively, across multiple mediums (in-person, over the phone, and virtually).

Skills and Qualifications
8-10 years' progressive experience with a CIRO Dealer Member. In-depth knowledge of the regulatory framework in Canada, with emphasis on CIRO and CSA requirements. Previous experience with registrations, and experience working with regulators directly to support the compliance function within a large firm. Familiarity with SEC rules is considered an asset. Previous people leadership experience with mid to large sized teams. Experience as a registered Supervisor of managed accounts and/or options preferred. Experience with Portfolio Aid, Global Relay, and/or Envestnet and client onboarding tools is a strong asset. Bilingual in English and French, written, and oral is considered an asset. A CFA or CIM designation and registrations as a Portfolio Manager of Advising Representative is considered an asset. Past CCO experience, Lawyer, or Accountant is an asset.

Compensation and Benefits
The estimated salary range for this position is $120,000 - $180,000 per year, depending on experience. Benefits include health and dental coverage, retirement savings plan, and paid time off. We offer a dynamic work environment with opportunities for growth and professional development.

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