Compliance Leader

1 week ago


Greater Toronto Area, Canada LHH Full time
Job Title: Compliance Leader - Investment FirmAbout the Role:

We are seeking a seasoned Compliance Leader to join our team in Winnipeg or Greater Toronto Area. As a key member of our organization, you will be responsible for leading our Compliance program and team, ensuring we adhere to regulatory requirements and internal policies.

About the Company:

LHH Knightsbridge is a global leader in Talent and Leadership Development, Career Solutions and Executive, Interim and Mid-Level Search. We help organizations find new talent, navigate change, become better leaders, develop better careers, and transition into new jobs.

Key Responsibilities:
  • Lead the Compliance program and team, ensuring adherence to regulatory requirements and internal policies.
  • Manage risk-based compliance programs, leveraging technology and influencing best practices.
  • Coach and lead a team of people leaders & compliance supervisors.
  • Responsible for driving the overall Compliance Program for Wellington-Altus Private Wealth (WAPW), Wellington-Altus Private Counsel (WAPC), and Wellington-Altus USA (WA USA).
Requirements:
  • 8-10 years' progressive experience with a CIRO Dealer Member.
  • In-depth knowledge of the regulatory framework in Canada, with emphasis on CIRO and CSA requirements.
  • Previous experience with registrations, and experience working with regulators directly to support the compliance function within a large firm.
  • Familiarity with SEC rules is considered an asset.
What We Offer:
  • $120,000 - $150,000 per year salary range.
  • A dynamic and challenging work environment.
  • The opportunity to work with a global leader in Talent and Leadership Development.


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