Compliance Leader
2 months ago
Job Summary:
HUB Capital Inc. is seeking a highly experienced Chief Compliance Officer to join our team. 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 company's compliance program across Canada.
- Manage regulatory affairs across Canada, staying current with and ensuring compliance with applicable legislations, regulations, and policies.
- Directly manage the national compliance team, providing leadership, guidance, and support.
- Create and communicate corporate policies and procedures to the National Compliance Team and the firm's management and advisors.
- Oversee the firm's and its advisor registrations, including due diligence and approval of new Mutual Fund Representatives.
- Ensure the firm has the appropriate levels of insurance and bonding in place.
- Maintain key regulatory relationships and participate in industry-focused groups and initiatives.
- Provide strategic leadership regarding all compliance issues and risk management.
- 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.
- Serve as the primary point of escalation for managing client complaints and advisor inquiries.
- 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.
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