Chief Compliance Officer

About Us:

DeLuca Veale Investment Counsel Inc. is a boutique investment firm based in British Columbia, licensed as a Portfolio Manager, Investment Fund Manager, and Exempt Market Dealer. We provide personalized wealth management solutions to families and small institutional clients across BC, Alberta, Saskatchewan, and Ontario. Our commitment to integrity, transparency, and client success is at the core of everything we do.

Key Responsibilities:

· Monitor and assess compliance matters of the firm and individuals, acting on its behalf, with required securities laws.

· Maintain current knowledge of laws and regulations and monitor for regulatory changes to ensure timely updates to compliance programs, processes, and workflows.

· Perform and complete various daily, monthly, quarterly and annual regulatory monitoring and reporting requirements.

· Develop, implement, and maintain the firm's Policies and Procedures Manual.

· Act as the primary liaison with securities regulators, FINTRAC, and other governing bodies.

· Oversee registration filings, regulatory reporting, audits, reviews, and examinations.

· Provide compliance training and guidance to staff.

· Review and approve marketing materials and client communications to ensure compliance with our policies and industry requirements.

· Conduct firm risk assessments as well as investigate and resolve compliance issues promptly.

· Report to the UDP or Board of Directors if non-compliance with securities or other regulations has been detected.

· Oversee Anti-Money Laundering compliance regime by developing and updating policies in accordance with guidelines, and continuously monitoring existing accounts and transactions

Qualifications:

· Must meet the requirements of a CCO for a Portfolio Manager, Investment Fund Manager, and Exempt Market Dealer as outlined in NI

· In-depth knowledge of NI 31-103, CSA guidance, and securities legislation.

· Knowledge of FINTRAC guidelines with respect to anti money laundering.

· Minimum 5 years of experience in compliance within the investment management or securities industry.

· Strong analytical, organizational, and communication skills.

· Strong organization and time management skills, with superior attention to detail.

· Ability to travel to the Comox office at least four times per year, and travel to compliance conferences as needed.

· Potential to work from the Victoria office of DeLuca Veale if preferred.

· Bachelor's degree.

· CFA, CIM, or CPA designation would be considered an asset.

Compensation:

· $140,000 to $180,000 base (based on full-time hours), final compensation negotiable depending upon experience and qualifications.

· Other compensation includes quarterly bonuses and a comprehensive group benefits program.

Why Join Us?

· Flexible work arrangement: remote or in-office.

· Collaborative, client-focused culture within an employee owned firm.

· Opportunity to shape and strengthen compliance practices in a growing firm.

· Potential for migration to full time employment depending on background, experience and the growth of the firm.

How to Apply:

Please submit your resume and cover letter to with the subject line: Chief Compliance Officer Application.

Thank you for your interest in joining DeLuca Veale, please understand we will only be contacting those who will be considered for an interview.

Job Types: Part-time, Permanent

Pay: $65.00-$85.00 per hour

Expected hours: No more than 24 per week

Benefits:

• Dental care
• Disability insurance
• Employee assistance program
• Extended health care
• Life insurance
• On-site parking
• Paid time off
• Relocation assistance

Education:

• Bachelor's Degree (required)

Work Location: Hybrid remote in Comox, BC V9M 1R9