Compliance Director for Financial Operations

2 weeks ago


Calgary, Alberta, Canada HUB International Full time
About the Role

We are seeking a seasoned Compliance Director to oversee our financial operations, ensuring adherence to regulatory requirements and industry standards.

Responsibilities:
  • Provide strategic leadership in compliance matters, risk management, and policy implementation.
  • Manage regulatory affairs across Canada, staying up-to-date with applicable legislations, regulations, and policies.
  • Lead the National Compliance Team, ensuring they are adequately resourced to meet their responsibilities.
  • Create and communicate corporate policies and procedures to the team and firm's management.
  • Oversee the resolution of client complaints and advisor inquiries, including responses to regulatory bodies.
Requirements:
  • A minimum of 10 years' experience in an industry-related compliance capacity.
  • Proven track record of successful leadership in Canadian investment-related regulatory compliance.
  • Chief Compliance Officer proficiency and related experience required.
  • Bilingual or working knowledge of French preferred.
What We Offer:
  • An estimated annual salary of $120,000 - $150,000, commensurate with experience.
  • A comprehensive benefits package, including customizable flexible benefits options and comprehensive tuition financing.
  • A collaborative and dynamic work environment that fosters professional growth and development.


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