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Compliance Leader

1 week ago

Toronto, Ontario, Canada Questrade Financial Group Full time

Company Overview

Questrade Financial Group is a cutting-edge financial institution that provides innovative products and services to its customers. We are committed to fostering a diverse, inclusive, and accessible work environment where individuals can grow and develop their skills.

Job Description

We are seeking a highly skilled Chief Compliance Officer (CCO) to join our team. The CCO will be responsible for designing, implementing, and overseeing systems and processes to ensure compliance with all applicable laws, regulations, and industry standards.

The CCO will lead the development and implementation of regulatory compliance programs, including Anti-Money Laundering and Terrorist Financing (AML-ATF), Privacy, Customer Complaints Resolution, and Code of Conduct initiatives. This role will also oversee financial services-related regulatory requirements and general regulatory obligations as a business entity and employer.

Key Responsibilities

  • Develop and implement policies and procedures in compliance with applicable laws and regulations.
  • Oversee the implementation and monitoring of compliance policies and procedures.
  • Provide effective compliance oversight function and escalate significant issues as appropriate.
  • Develop and deliver compliance training to ensure staff have knowledge and understanding of regulation and related policies and procedures.
  • Act as primary liaison with regulatory bodies and respond to inquiries, audits, and examinations.

Required Skills and Qualifications

  • 12-15 years of experience in progressively senior compliance roles with ideally 5 years of that time spent as an Executive leader with direct oversight of a medium-sized team.
  • Minimum 7 years' experience in a Senior Compliance role.
  • Hold a University degree in business, finance, economics or related discipline.
  • Deep understanding of applicable regulations and ability to keep abreast of changes and developments.
  • Strong verbal and written communication skills suitable for Senior Management and Board reporting.