Compliance Risk Management Leader
3 days ago
We are seeking a seasoned and forward-looking Chief Compliance Officer (CCO) to join our executive team at Thorek/Scott and Partners. This is an exciting opportunity to directly impact the evolution of a national compliance program and assess compliance risks comprehensively and find innovative solutions to ensure that the organization operates and is positioned for growth within the boundaries of regulatory requirements and industry standards.
About the Role- Reporting to the CEO, you will be responsible for all activities relating to the development, implementation, and monitoring of the company's national compliance program while maintaining a strong understanding of the business needs of the organization.
- Leading a national team, you will provide strategic leadership to management and be responsible for the company's compliance program across Canada, overseeing risk management, policies, procedures, regulatory reporting, examinations, and investigations.
This role requires a proven track record of successful leadership in Canadian regulatory compliance for the insurance industry. You will have the opportunity to create and communicate corporate policies and procedures to the compliance team, the firm's management, advisors, and other employees.
About You- You will have previous experience in a Chief Compliance Officer (CCO) or similar role with a minimum of five years of relevant experience in developing and administering company-wide compliance programs within the Canadian insurance ecosystem.
- Prior managerial experience in administration of a compliance department, including development of compliance policies, oversight, and implementation of risk assessment procedures and training programs.
- Knowledge and understanding of life insurance compliance and regulatory issues, including variable and fixed annuities, mortality-based insurance, and insurance products, along with knowledge and understanding of applicable securities rules and regulations.
- Strong ability to coach, mentor, and provide ongoing development to direct reports through needs assessments, on-the-job feedback, and training that creates a culture focused on Advisor education, compliance best practices, and service excellence.
- A competitive salary of $150,000 - $200,000 per annum, depending on experience.
- A comprehensive benefits package.
- The opportunity to work with a reputable and growing organization in the Canadian insurance industry.
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