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Chief Compliance Officer in Wealth ManagementStaffing In Motion • Toronto, Canada
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Chief Compliance Officer in Wealth Management

Chief Compliance Officer in Wealth Management

Staffing In Motion • Toronto, Canada
Il y a 11 jours
Type de contrat
  • Temps plein
Description de poste
Step into the Chief Compliance Officer role in a thriving hybrid wealth management firm. Oversee and enhance compliance operations, ensuring robust adherence to regulatory standards.

As a compliance leader, you will work at the intersection of strategy and regulation, assisting advisors while managing compliance operations for a firm with substantial assets. Your expertise in CIRO regulations will guide the development of policies and training aimed at fostering a culture of compliance. This position demands a strategic thinker with leadership skills in a dynamic setting.

Key Responsibilities: • Manage the firm's compliance program with CIRO • Ensure compliance with securities laws and internal controls • Serve as liaison to regulators and file necessary reports • Develop compliance manuals and oversee training initiatives • Conduct compliance monitoring and branch reviews

Requirements: • Eligible for approval as Chief Compliance Officer with CIRO • Experience in a CIRO-regulated environment needed • Comprehensive knowledge of Canadian regulations required • Background in capital markets transactions preferred • Relevant designations like CCO, CSC, or equivalent preferred

Leverage your compliance expertise to foster strategic growth while ensuring regulatory excellence in a robust wealth management environment. #J-18808-Ljbffr
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Chief Compliance Officer in Wealth Management • Toronto, Canada

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