Chief Compliance Officer

7 days ago

Québec, Quebec, Canada Amundi Full time $120,000 - $180,000 per year

This is a high-profile stand-alone role focused on the leadership, management and direction of the Compliance function with the objective of ensuring the appropriate resourcing, framework, policies, organization and effectiveness of the compliance function.

Key Responsibilities:

  • Identify, monitor and manage regulatory risks through the implementation and execution of the compliance monitoring programme
  • Control the order reception process (assignment/pre-assignment, correct use of existing order categories) and order transmission
  • Control best execution based on a tool developed "in house." As a result, the tool must constantly meet the highest market standards.
  • Responsible for the day to day operations of the Compliance function and for all aspects of the firms compliance activities
  • Contribute to the successful operation of the Global Compliance function within the wider group and liaise directly with the lead global compliance co-ordinators;
  • Deliver timely, practical, commercial and clear guidance to all levels of the organisation
  • Keep abreast of key regulatory and legislative changes and advise the business accordingly
  • Manage the relationship with local regulators
  • Ensure high quality, accurate and timely reporting to Boards, other committees and forums
  • Support management in the enhancement and maintenance of a robust compliance culture
  • Oversee the maintenance and updating of compliance policies, procedures and process documents in line with new and updated regulations
  • Lead compliance team members and work effectively within a matrix reporting structure
  • Support CPM business development initiatives from a compliance perspective
  • Oversight of the provision of compliance services to the local branch of an affiliate entity that provides trading services to the Group

Requirements & Experience:

  • Familiarity with the regulations set forth by the Canadian Securities Administrators (CSA) and the Autorité des marchés financiers (AMF)
  • Understanding of the IIROC rules and regulations, particularly those related to trading practices, market integrity and client protection
  • Relevant qualification (s) in accountancy, legal or other business or commercial discipline
  • Minimum of 6 years of compliance experience
  • Extensive practical and up to date knowledge regulation relating to both the IPM and CPM aspects of the business
  • Experience in designing and delivering a compliance framework and associated plan
  • Significant practical experience of AML regulation;
  • Hands-on skills relating to the monitoring and practical advice and guidance in investment compliance
  • Multi-jurisdictional regulatory experience and knowledge
  • Strong experience in UCITS/AIFMD/MIFID

Competencies:

  • Possess strength of character to influence and challenge business colleagues and particularly senior management in the context of regulation, ethical behavior and conduct risk;
  • Exceptional leadership and staff management skills with a track record of creating, leading and motivating a team of high achievers;
  • Strategic thinker with excellent communication and project management skills

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