Chief Compliance Officer

2 days ago

Vaughan, Ontario, Canada 019983 Hub Capital Inc. Full time

Job Title: Chief Compliance Officer

About the Role:

We are seeking a highly experienced Chief Compliance Officer to join our team at HUB Capital Inc. As a key member of our leadership team, you will be responsible for ensuring our organization operates within the boundaries of regulatory requirements and industry standards.

Key Responsibilities:

  • Provide strategic leadership to the HUB Management team and oversee the firm's compliance program across Canada.
  • Manage regulatory affairs, staying current with and ensuring compliance with applicable legislations, regulations, and policies.
  • Implement corporate policies and procedures, ensuring their adherence across Canada.
  • Oversee the resolution of client complaints and advisor inquiries, including appropriate responses to regulatory bodies and OBSI.
  • Report to the HUB Capital Board of Directors on all compliance matters on a quarterly basis.

Requirements:

  • Previous experience in a Chief Compliance Officer (CCO) or similar role with a proven track record of successful leadership in Canadian investment-related regulatory compliance.
  • A university degree in finance, business administration, or a related discipline is preferred.
  • Chief Compliance Officer proficiency and related experience is required.
  • ACAMS Certification is preferred.
  • Experience with the Canadian Investments Regulatory Organization (CIRO) specific to mutual fund dealer member operations is required.
  • Experience with the Mutual Fund Dealers Association of Canada (MFDA) is required.
  • Experience with the Investment Industry Regulatory Organization of Canada (IIROC) is an asset.
  • Bilingual or some working knowledge of French is preferred.
  • Minimum 10 years' experience in an industry-related compliance capacity.

About HUB Capital Inc.:

HUB Capital Inc. is a leading full-service global insurance broker and financial services firm providing risk management, insurance, employee benefits, retirement, and wealth management products and services. With more than 17,000 employees in offices located throughout North America, HUB's vast network of specialists brings clarity to a changing world with tailored solutions and unrelenting advocacy, so clients are ready for tomorrow.

Through our dedication to excellence and innovation, we are proud to have achieved the remarkable distinction of ranking 5th largest insurance brokerage worldwide. We're not just an insurance broker, we bring clarity to a changing world with tailored solutions and unrelenting advocacy.

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