Chief Compliance Officer: Regulatory Expertise Sought

6 days ago

Toronto, Canada Optimize Wealth Management Full time

**Optimize Wealth Management: A Premier Financial Services Firm**

We are seeking an exceptional Chief Compliance Officer to join our team, providing strategic leadership and expertise in regulatory compliance management. Located in a dynamic financial hub, this is a full-time on-site opportunity that offers a competitive salary of $120,000 per annum.

The ideal candidate will possess a strong background in securities industry regulations, risk management, and supervision. As a seasoned professional, you will be responsible for ensuring the firm's ongoing compliance with regulatory requirements, internal policies, and procedures. Your analytical skills, effective communication, and financial acumen will enable you to manage compliance-related tasks with ease.

Reporting directly to the CEO and UDP, you will oversee the firm's compliance with regulatory bodies and legislation. Key responsibilities include:

  • Supervision of activities: Directing all efforts towards compliance with applicable regulatory bodies and maintaining regulatory approval/registration as CCO.
  • Compliance framework evolution: Leading the development of the firm's compliance and supervision framework to ensure it meets regulatory requirements and identifies potential violations through risk assessments and supervision.
  • Relationship management: Effectively managing relationships with external regulatory bodies, supporting audits, and timely remediation of compliance issues.
  • Designated privacy officer: Serving as the primary point of contact for bi-annual independent reviews of the anti-money laundering program and acting as Chief Anti-Money Laundering Officer.

In addition to your regulatory expertise, we require:

  • A minimum of 10 years of experience in senior compliance and risk management roles, with a proven track record of dealing with regulators.
  • Prior registration as a CCO.
  • Strong knowledge of securities industry regulatory practices, principles, and procedures applicable to securities legislation and regulation.
  • Digital skills, including advanced Excel, remote technologies, and experience using third-party software.
  • A university degree in a related field of finance or economics, Law degree, or professional designation (e.g., CFA, Chartered Accountant, or CIM).

If you are a diligent, organized individual with a keen attention to detail and excellent written and verbal communication skills, we encourage you to apply. Our team environment values collaboration and credibility, and we offer opportunities for growth and professional development. Apply now to take on this critical role and contribute to our commitment to excellence in financial services.

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