Chief Compliance Officer

15 hours ago

Calgary, Alberta, Canada ThorekScott and Partners Full time

At Thorek/Scott and Partners, we connect accomplished organizations with talented individuals for almost four decades.

We have a strong track record of successfully completing challenging searches across the professional spectrum, earning us an exceptional reputation at the forefront of the recruitment industry. Our Canadian and International clients include global banks and non-bank financial institutions, private equity and investment funds, professional service firms, and entrepreneurial businesses in various industries.

We value the human connection and distinguish ourselves through an unwavering dedication to understanding the goals and motivations of our clients and candidates alike.

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Executive Position Overview

Our client is a significant player within the Canadian life insurance industry, experiencing a period of substantial growth. They seek a seasoned and forward-looking Chief Compliance Officer (CCO) to join their executive team, reporting directly to the CEO.

The CCO 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. This includes leading a national team, providing strategic leadership to management, and overseeing risk management, policies, procedures, regulatory reporting, examinations, and investigations.

Key Responsibilities
  • Directly manage the national compliance program, providing leadership, guidance, and support in accordance with applicable laws and best practices.
  • Create and communicate corporate policies and procedures to the compliance team, the firm's management, advisors, and other employees.
  • Manage regulatory affairs across Canada, staying current with and ensuring compliance with applicable legislations, regulations, and policies.
  • Create, maintain, and regularly conduct business practice reviews of procedures and policies defining and conforming to the ethical and regulatory compliance requirements of the insurance industry and relevant industry organizations.
  • Ensure that corporate actions conform with legal and regulatory requirements through participation in the review of sales and marketing communications prior to circulation.
  • Proactively develop education materials to aid employees and contracted Advisors in awareness and understanding of legal and regulatory requirements, policies, and procedures.
  • Identify areas of vulnerability relative to prevailing regulations and develop review mechanisms to guard against these key risks.
  • Investigate complaints and alleged violations, identify internal consequences, provide recommended courses of action, and implement corrective measures to address the violation and prevent future occurrences.
  • Maintain key regulatory relationships and provide coordination, oversight, and administration of the company's interaction with and reporting to regulators.
  • Provide oversight and administration of compliance audits and legal inquiries from governing boards or other regulatory authorities.
  • Recruit and train qualified compliance officers and other staff with the requisite knowledge and experience to effectively implement the compliance program and carry out compliance-related duties.
Estimated Salary Range

The estimated salary range for this position is $120,000 - $180,000 per year, based on industry standards and market conditions.

Desired Qualifications
  • Undergraduate degree, with preference for a graduate degree in law (J.D.) or business administration (M.B.A.).
  • Minimum of five years of relevant experience in developing and administering a company-wide compliance program within the Canadian insurance ecosystem.
  • Prior managerial experience in administering 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.
  • Demonstrated ability to influence and work effectively with employees at all levels.
  • Strong ability to coach, mentor, and provide ongoing development to direct reports through needs assessments, on-the-job feedback, and training creating a culture focused on Advisor education, compliance best practices, and service excellence.
  • Experience fostering an environment of teamwork to ensure collaboration across all areas of the organization and developing strong trust-based relationships with product providers.

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