Chief Compliance Officer

Job Description

Job Description Chief Compliance Officer Build the future with us The Chief Compliance Officer (CCO) oversees all aspects of regulatory compliance for the firm, which is one of Canada’s largest independent CIRO dealers. This role also supports iA Capital Markets, a mid-market capital markets business with a retail focus. This role involves developing and implementing compliance programs, conducting risk assessments, providing training where necessary and ensuring the firm’s adherence to regulatory standards. The CCO also supervises trading activities, ensuring compliance in portfolio management, complex products and alternative investments. Reporting to the President/CEO, the CCO will ensure that both advisors and internal staff operate within the legal and ethical standards of the industry. What you’ll accomplish with us Compliance Program Development : Continually design and implement the firm’s compliance program to align with Canadian regulatory standards. Trading Oversight: Oversee trading activities, including monitoring securities transactions, managing credit and cash flow and handling trade error resolution. Portfolio Management Compliance : Ensure compliance with best practices in portfolio management, complex products and alternative investments, supporting advisors in navigating these areas. Policy Implementation : Develop, maintain, and enforce compliance policies, procedures, and protocols across the firm. Risk Assessment and Mitigation : Conduct regular risk assessments, identify potential regulatory issues, and implement corrective measures as needed. Training and Education : Provide compliance training to advisors and internal team members, ensuring they understand and adhere to Canadian regulatory requirements. Monitoring and Auditing : Perform regular audits and reviews of the firm’s practices, identifying areas for improvement and ensuring compliance with the latest regulations. Regulatory Knowledge Maintenance : Stay current with regulatory developments in both Canada and the United Sates, maintaining compliance with the SEC, CIRO and Canadian Securities Administrators (OSC). Attend applicable industry events and forums to stay abreast of the changing regulatory landscape and various industry initiatives, issues and best practices. Reporting and Communication : Keep the President and board updated on compliance activities, regulatory changes, and risk management initiatives. Regulatory Filing and Record-Keeping : Ensure all required filings are completed accurately and timely, maintaining organized records for audits or regulatory reviews. Collaboration & Integration : Work with CCOs, Risk Officers and Legal heads of iA affiliates to ensure a consistent compliance standard that leverages the strengths and expertise of the wider organization (iA Financial Group). What could accelerate your success in this role We’re looking for someone who: Experience at senior levels in compliance management within Canadian Retail Platforms.

Required Skills