Posted:September 8, 2021
Our client, is looking for an ambitious and motivated Chief Compliance Officer to lead their Canadian Risk & Compliance team in Vancouver.
Investing should be open to everyone. It’s one of the best ways to grow your savings, but for a lot of people, investing seems complicated, expensive and remote. They want to change all that.
They are a technology company that brings simple stock investing to everyone. They have built a beautiful investing app to trade in real shares, in a fluid, mobile-first experience.
This is an exciting opportunity to make an impact within a team set on changing investing forever.
What you’ll do in your first twelve months:
- Be responsible for establishing and leading the Canadian regulatory compliance program, as well as developing and maintaining compliance policies and procedures
- Provide strategic direction and recommendations to the leadership team regarding operating plans, including assisting in the submission of our initial registration with the Canadian regulator
- Lead by example to foster a culture of compliance, ensuring employees are educated on and adhere to established policies and procedures
- Lead the preparation of Canadian compliance reporting, ensuring it is accurate, complete and timely
- Educate and support personnel on compliance matters, including designing and distributing compliance related training
- Work collaboratively with regulators in developing responses to regulatory inquiries and examination requests
- Horizon scan for upcoming relevant legislation and guidance to make sure we are ready ahead of time to comply
- 5+ years of senior compliance and operational leadership experience in the financial services industry (ideally focused on OEO investment dealers)
- Broad knowledge of IIROC, OSC and CSA rules, policies and procedures
- Business-focused, with exceptional judgment and demonstrated decision-making skills
- An open and agile attitude, with prior experience working in a fast paced start up; we are looking for someone who is open to anything put in front of them and is truly gritty
- Demonstrated strong interpersonal and team leadership skills, as well as strong communication skills (both oral and written)
- Have completed both the CSI Chief Compliance Officer Qualifying Exam (CCO Qualifying Exam) and the CSI Partners, Directors and Officers Course (PDO Course)
Interested candidates please contact Stephanie Williams at email@example.com.