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Chief Compliance Officer

1 week ago

Vaughan, Ontario, Canada Hub Capital Inc. Full time

Chief Compliance Officer
HUB Capital

Canada

At HUB Capital, we pride ourselves on fostering an environment dedicated to professional growth and client-centric values. As part of the HUB International family, we specialize in offering tailored financial solutions, empowering our clients across Canada to achieve their long-term goals through our network of independent financial advisors. Our commitment to excellence extends beyond delivering top-tier products – it encompasses a culture that values collaboration, innovation, and continuous learning.

We are Proud to Offer:

Customizable flexible benefits options for you and your family

Company matching RRSP contributions

Comprehensive tuition financing and career-related training and development

Work-life balance through flexible scheduling and hours

Mental and physical wellness initiatives

Advancement opportunities

HUB Cares: as a company that gives back and is active in the community

Learn more about HUB's Culture & Value

The Opportunity:

As the Chief Compliance Officer (CCO) at HUB Capital, a mutual fund dealer level member of the Canadian Investment Regulatory Organization, you'll play a key role in ensuring our organization operates and is positioned for growth within the boundaries of regulatory requirements and industry standards. You will provide strategic leadership to the HUB Management team and be responsible for HUB's compliance program across Canada, overseeing risk management, policies, procedures, regulatory reporting, examinations, investigations and, directly guide the National Compliance Team. Your responsibilities will encompass all aspects of compliance and require a deep understanding of financial products, strategies, regulations, and industry best practices.

This individual will come with a proven track record of leadership in compliance, who can seamlessly navigate the intricacies of industry-specific regulations. Ethical integrity is crucial, and a commitment to upholding the highest standards of compliance is a must.

We value strong analytical skills, industry experience, the ability to assess compliance risks comprehensively and find innovative solutions. Adaptability is vital, given the ever-evolving regulatory landscape, and meticulous attention to detail ensures that our national compliance programs are robust and effective. We are looking for someone who possesses unwavering conviction and resilience in their decisions, fosters collaboration within teams, and approaches problem-solving proactively.

A Day In The Life:

National Compliance Team Management:

Directly 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.

Regulatory Affairs Management:

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.

Ensure the firm has the appropriate levels of insurance and bonding in place.

Maintain key regulatory relationships and participate in industry focused groups and initiatives.

Strategic Leadership and Compliance Oversight:

Provide strategic leadership regarding all compliance issues and risk management.

Implement corporate policies and procedures, ensuring their adherence across Canada.

Oversee the resolution of client complaints and advisor inquiries, including appropriate responses to regulatory bodies and OBSI.

Serve as the primary point of escalation for managing client complaints and advisor inquiries.

Report to the HUB Capital Board of Directors on all compliance matters on a quarterly basis.

Keep current, understand, and comply with good business practices, ethical standards, and applicable legislation, regulations, and policies.

Who you are:

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, 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 17,000 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 We're not just an insurance broker, we bring clarity to a changing world with tailored solutions and unrelenting advocacy.

If you're interested in learning how you can grow your career at HUB, visit our to explore our opportunities.

Department Risk Management & Loss ControlRequired Experience: 10-15 years of relevant experienceRequired Travel: Up to 25%Required Education: Bachelor's degree (4-year degree)