Chief Compliance Officer
4 days ago
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)-
Chief Compliance Officer
4 days ago
Vaughan, Canada Hub International Full timeChief 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...
-
Chief Compliance Officer
16 hours ago
Vaughan, Canada Hub International Full timeChief 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...
-
Chief Compliance Officer
4 days ago
Vaughan, Canada Hub International Full timeChief 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...
-
Chief Compliance Officer
4 weeks ago
Vaughan, Canada Hub International Full timeChief 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...
-
Chief Operating Officer
1 week ago
Vaughan, Ontario, Canada Highlight Motor Freight Inc. Full timeChief Operating Officer (COO) Highlight Motor Group is one of the largest and fastest growing transportation companies in the GTA. As a result of our driven marketing approach and second-to-none work ethic, we are experiencing tremendous growth. In order to keep up with our growth we will be seeki
-
Executive Assistant to Chief Executive Officer
4 weeks ago
Vaughan, Canada EightSix Network Inc Full timeExecutive Assistant to Chief Executive Officer Part Time / Full Time Executive Assistant to Chief Executive OfficerCompany Overview: Footage Tools is a leading manufacturer of specialty infrastructure tools, dedicated to providing quality tools for our customers in the Energy (Natural Gas and Oil & Gas), Water, and Underground Construction sectors. As a...
-
Executive Assistant to Chief Executive Officer
4 weeks ago
Vaughan, Canada EightSix Network Inc Full timeExecutive Assistant to Chief Executive Officer Part Time / Full Time Executive Assistant to Chief Executive OfficerCompany Overview: Footage Tools is a leading manufacturer of specialty infrastructure tools, dedicated to providing quality tools for our customers in the Energy (Natural Gas and Oil & Gas), Water, and Underground Construction sectors. As a...
-
Executive Assistant to Chief Executive Officer
4 weeks ago
Vaughan, Canada EightSix Network Inc Full timeExecutive Assistant to Chief Executive Officer Part Time / Full Time Executive Assistant to Chief Executive OfficerCompany Overview: Footage Tools is a leading manufacturer of specialty infrastructure tools, dedicated to providing quality tools for our customers in the Energy (Natural Gas and Oil & Gas), Water, and Underground Construction sectors. As a...
-
Executive Assistant to Chief Executive Officer
4 weeks ago
Vaughan, ON, Canada EightSix Network Inc Full timeExecutive Assistant to Chief Executive Officer Part Time / Full Time Executive Assistant to Chief Executive Officer Company Overview: Footage Tools is a leading manufacturer of specialty infrastructure tools, dedicated to providing quality tools for our customers in the Energy (Natural Gas and Oil & Gas), Water, and Underground Construction sectors. As a...
-
Vaughan, Canada Majestic Marble Import Ltd. Full timeCEO (chief executive officer) - manufacturing company Verified Posted on May 10, 2024 by Employer details Majestic Marble Import Ltd. Job details Location 399 Applewood Cres Concord , ON L4K 4J3 Salary 53.10 hourly / 37 hours per week Terms of employment Permanent
-
Vaughan, Canada Majestic Marble Import Ltd. Full timeCEO (chief executive officer) - manufacturing company Verified Posted on May 10, 2024 by Employer details Majestic Marble Import Ltd. Job details Location 399 Applewood Cres Concord , ON L4K 4J3 Salary 53.10 hourly / 37 hours per week Terms of employment Permanent
-
Chief Technology Officer
2 months ago
Vaughan, Canada Highlight Motor Freight Inc. Full time**Highlight Motor Group** is one of the largest and fastest growing transportation companies in GTA. As a result of our driven marketing approach and second-to-none work ethic, we are experiencing tremendous growth. In order to keep up with our growth we are seeking experienced, professional, energetic, goal-oriented individuals to complement our...
-
Chief Technology Officer
1 week ago
Vaughan, Canada Highlight Motor Freight Inc. Full time**Highlight Motor Group** is one of the largest and fastest growing transportation companies in GTA. As a result of our driven marketing approach and second-to-none work ethic, we are experiencing tremendous growth. In order to keep up with our growth we are seeking experienced, professional, energetic, goal-oriented individuals to complement our...
-
Chief Technology Officer
2 weeks ago
Vaughan, Canada Highlight Motor Freight Inc. Full time**Highlight Motor Group** is one of the largest and fastest growing transportation companies in GTA. As a result of our driven marketing approach and second-to-none work ethic, we are experiencing tremendous growth. In order to keep up with our growth we are seeking experienced, professional, energetic, goal-oriented individuals to complement our...
-
Vaughan, Canada SKYLINE TRANSPORT INC. Full timeCFO (chief financial officer) - goods production, utilities, transportation and construction Verified Posted onJune 10, 2024 by Employer details SKYLINE TRANSPORT INC. Job details Location Woodbridge , ON Salary 58.00 hourly / 40 hours per week Terms of employment P
-
Vaughan, Canada KOREA FOOD TRADING LTD. Full timeCEO (chief executive officer), deputy - trade, broadcasting and other services Verified Salary 130,000 annually / 40 hours per week Terms of employment Permanent employment Full time Start date Starts as soon as possible Benefits:Health benefits, Financial benefits, Other benefi
-
Vaughan, Ontario, Canada SKYLINE TRANSPORT INC. Full timeCFO (chief financial officer) - goods production, utilities, transportation and construction Verified Posted onJune 10, 2024 by Employer details SKYLINE TRANSPORT INC. Job details Location Woodbridge , ON Salary 58.00 hourly / 40 hours per week Terms of employment P
-
Chief Estimator/manager of Estimating
4 weeks ago
Vaughan, Canada Forest Contractors Ltd. Full time**Chief Estimator/Manager of Estimating** Awarded one of Canada’s Best Managed companies, **The Forest Group** is a vertically integrated diversified group of companies offering exterior construction material supply and services within the Greater Toronto Area. Focused on asphalt paving, concrete, landscape construction and other exterior construction,...
-
Senior / Lead / Chief Estimator - Demolition
1 week ago
Vaughan, Canada TalentSphere Full timeSENIOR / LEAD / CHIEF ESTIMATOR Position: Senior Estimator, Lead Estimator or Chief Estimator Salary: Based on experience $100k - $200k Responsibility: Your role encompasses the entire tender process for a self-performance shoring company, starting from the initial invitation and culminating in the submission phase. This multifaceted responsibility...
-
Senior / Lead / Chief Estimator - Demolition
2 weeks ago
Vaughan, Canada TalentSphere Full timeSENIOR / LEAD / CHIEF ESTIMATOR Position: Senior Estimator, Lead Estimator or Chief Estimator Salary: Based on experience $100k - $200k Responsibility: Your role encompasses the entire tender process for a self-performance shoring company, starting from the initial invitation and culminating in the submission phase. This multifaceted responsibility involves...
