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Chief Compliance Officer (CCO)Confidential • Waterloo, Ontario, CA
Chief Compliance Officer (CCO)

Chief Compliance Officer (CCO)

Confidential • Waterloo, Ontario, CA
3 days ago
Job type
  • Full-time
Job description
Chief Compliance Officer (CCO) About the Company Reputable financial firm providing wealth management products & services Industry Financial Services Type Public Company Founded 1865 Employees 10,001+ Categories - Service Industry - Financial Services - Finance - Consulting & Professional Services - Insurance - Publicly Traded - FinTech - Savings & Investing Business Classifications - B2B About the Role The Company is seeking a Chief Compliance Officer (CCO) to join their team. The CCO will serve as the Senior Compliance Officer, leading the independent second line Compliance function and ensuring compliance with regulatory requirements. This role is pivotal in promoting a culture of integrity and accountability, providing oversight of compliance and fraud risks, and offering independent advice on emerging regulatory issues. The successful candidate will be responsible for establishing and enhancing a risk-based regulatory compliance management framework, monitoring industry trends, and influencing business strategies to support compliant growth. Candidates for the CCO position at the company should have a deep expertise in regulatory compliance, particularly with OSFI's E-13 requirements, and a proven track record in the financial services industry. The role requires a leader with exceptional judgment, strategic thinking, and the ability to manage complex, change, and transformation. Strong relationship management and influencing skills are essential, as is the ability to communicate complex regulatory matters clearly to diverse audiences. The ideal candidate will have a graduate degree, legal designation, or relevant professional certification, and at least 15 years of leadership experience in compliance, risk management, legal, audit, or a related financial services discipline. Experience in wealth and asset management, as well as a background in engaging with regulators and executive committees, is also necessary. Hiring Manager Title Senior Vice President & Chief Compliance Officer Functions - Finance
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Chief Compliance Officer (CCO) • Waterloo, Ontario, CA

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