Interim Chief Compliance Officer

2 weeks ago

Mississauga, Ontario, Canada LHH Knightsbridge Full time

Interim Chief Compliance Officer

Reports to: Chief Risk & Legal Officer

Duration: 3 Months

Location: Mississauga, Ontario

Hybrid

Our client a well established name in financial sector is looking for Interim Chief Compliance Officer. This role involves developing, implementing, and maintaining compliance policies and procedures, conducting risk assessments, and providing guidance to senior management and staff at all levels concerning the application of the relevant laws, regulations and internal policies.

Key Accountabilities:

  • Responsible for managing all compliance functions and overseeing key risk indicators and service levels within the Compliance Division, as assigned.
  • Provides assurance to Senior Leaders and the Board of Directors that there are effective and efficient policies and procedures in place, well understood and respected by all employees
  • Act as the money laundering reporting officer for the firm.
  • Supporting business activities in existing products and services and new opportunities in areas of growth
  • As part of the execution of ongoing responsibilities, monitor changes to regulatory requirements, identify gaps or weaknesses in compliance policies and procedures, and processes, to recommend revisions to effectively mitigate such gaps.
  • Effectively manage and supervise a team of compliance professionals in the areas of audit, supervision, registration, providing timely and effective feedback and support, consistent with compliance policies and directives.
  • Support the CRLO and other members of the Leadership Team in the identification, planning and execution of strategic and operational initiatives for the organization to ensure they comply with all laws, regulations and the company's policies and procedures.
  • Manage regulatory filings and ensure proper record-keeping and documentation retention.
  • Assist senior leaders within the Assurance department in other functional areas as required, including enterprise risk management, internal audit, data analytics, supervisory investigations, regulatory audits, inquiries and special projects, as directed.
  • Communicating with and managing challenging compliance matters with regulators from time to time as the need arises.

Education and Experience:

  • Bachelor's degree in Law, Business Administration, or a related field. Master's degree or professional certification is preferred.
  • Chief Compliance Officer (CCO) designation is mandatory
  • Minimum of 10 years of experience in compliance, legal, and/or regulatory roles, with at least 5 years in a leadership position (managing and supervising a team of Compliance professionals).
  • Extensive experience with reviewing securities regulations (and other regulatory publications) and summarizing that into clear and concise plain language guidance for impacted stakeholders
  • Extensive experience in drafting policies & procedures within the financial services industry
  • Strong organization and records management skills are required
  • In-depth knowledge of Canadian compliance laws and regulations and the design of compliant processes.
  • Completion of or ability to complete other related securities industry courses, such as the Chief Compliance Officers Qualifying Examination, Canadian Securities Course and Officers, Partners & Directors Course.
  • Strong analytical, problem-solving, and decision-making skills.
  • Excellent written and verbal communication and interpersonal skills.
  • Ability to work independently and as part of a team.
  • High ethical standards and integrity.
  • Someone who listens to diverse perspectives with an empathetic attitude.

PLEASE SEND YOUR CV (AS A WORD DOC) TO: (SubjecT: Job Title)

LHH Knightsbridge Interim Management is a service to help our clients address a wide range of scenarios including leadership support due to sudden departures, driving key change initiatives or leading transformation projects. Our interim executives step in with minimal downtime to meet specific objectives and deliver results. All have held senior positions in the past and have now chosen to offer their unique depth and breadth of experience to organizations on a limited engagement basis.

Follow the LHH Knightsbridge LinkedIn page and set up a job alert to learn about new Executive Interim opportunities.

Lee Hecht Harrison Knightsbridge Corp. is committed to providing equitable treatment and accommodation to ensure a barrier-free recruitment process. In accordance with the Ontario Human Rights Code, Accessibility for Ontarians with Disabilities Act and our AODA policy, a request for accommodation will be accepted as part of the hiring process. If you require accommodation to apply or if selected to participate in an assessment process, please provide your accommodation needs in advance to the Recruitment Lead for this opportunity.

We thank all interested candidates in advance; however, only individuals selected for interviews will be contacted.

March 2025

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