Renowned Compliance Strategist
5 days ago
Role Overview
The Chief Compliance Officer will play a pivotal role in ensuring HUB Capital operates within the boundaries of regulatory requirements and industry standards. This individual will provide strategic leadership to the HUB Management team and oversee the national compliance program across Canada, encompassing risk management, policies, procedures, regulatory reporting, examinations, investigations, and guiding the National Compliance Team.
Responsibilities
- Manage the national program, providing leadership, guidance, and support.
- Ensure the Compliance Team is appropriately resourced to meet its Tier 1, Tier 2, audit, risk management, and other regulatory responsibilities.
- Create and communicate corporate policies and procedures to the National Compliance Team and the firm's management and advisors.
- Manage regulatory affairs across Canada, staying current with and ensuring compliance with applicable legislations, regulations, and policies.
- Provide all required reporting to regulatory bodies.
- Oversee the firm's and its advisor registrations, including due diligence and approval of new Mutual Fund Representatives.
- Maintain key regulatory relationships and participate in industry-focused groups and initiatives.
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 International
Headquartered in Chicago, Illinois, Hub International Limited 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 19,000 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.
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