Lead compliance initiatives as the Chief Compliance Officer in our investment firm. Ensure adherence to Canadian and US regulations while promoting risk awareness throughout the organization.
This pivotal role centers on overseeing the compliance program, engaging with regulators, and ensuring accurate reporting. You will be responsible for establishing compliance monitoring plans and providing essential training to staff. Insights into compliance culture will be shared with senior management for a robust framework.
Key Responsibilities:
• Lead compliance strategy implementation across regulations
• Engage with regulators for inquiries and reviews
• Monitor timely and accurate regulatory filings
• Establish compliance testing and monitoring frameworks
• Conduct ongoing compliance training for teams
Requirements:
• At least 3 years of relevant compliance experience
• Must be registrable as a chief compliance officer
• Chartered Accountant or legal backgr...