We are seeking an experienced and strategic Chief Compliance Officer (CCO) to lead our compliance initiatives for our CIRO-regulated dealer operations. The CCO will ensure that our firm adheres to all regulatory requirements set forth by the Canadian Investment Regulatory Organization (CIRO), fostering a culture of integrity and compliance. This position requires a deep understanding of securities regulations, exceptional leadership skills, and the ability to effectively manage compliance risks.

Position

Responsibilities - Regulatory Oversight: Ensure compliance with CIRO regulations and other applicable securities laws, providing guidance and oversight to the organization on all compliance-related matters.

- Policy and Procedure Development: Develop, implement, and maintain compliance policies and procedures, ensuring they are current and effectively communicated throughout the organization.
- Risk Assessment and Management: Identify, assess, and mitigate compliance risks associated with our operations, implementing strategies to manage these risks effectively.
- Monitoring and Reporting: Establish and maintain monitoring systems to ensure ongoing compliance with regulatory requirements. Prepare and deliver comprehensive compliance reports to senior management and the board of directors.
- Training and Education: Design and conduct training programs to ensure that employees are knowledgeable about compliance requirements and ethical standards.
- Regulatory Liaison: Serve as the primary point of contact for regulatory bodies, including CIRO, managing communications and inquiries effectively.

Leadership and Collaboration: Lead the compliance team, encouraging professional development and ensuring high performance. Collaborate with other departments to integrate compliance practices into business operations.





Required Qualifications - 10 years experience - Prior CIRO registered Chief Compliance Officer When you join our team - We’ll empower you to learn and grow the career you want.

- We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
- As part of our global team, we’ll support you in shaping the future you want to see. The role being advertised is an existing vacancy. 關於宏利和恒康 宏利金融公司是一家業界領先的國際金融服務商，致力於幫助人們實現「輕鬆投資理財，樂享豐盛人生」。若要進一步了解我們，請瀏覽 https://www.manulifeim.com/institutional/tw/en。 宏利是平等機會僱主 在宏利／恒康，我們擁抱多元。我們致力於吸引、培養及挽留和所服務客戶同樣多元的員工，並從而營造包容的工作環境，接納文化和個體差異。我們矢志維持公平的招聘、挽留、晉升及薪酬制度，我們管理的所有實踐及項目不會因種族、血統、原籍地、膚色、族裔、國籍、宗教或宗教信仰、信仰、性別（包括懷孕及其相關情況）、性取向、遺傳特徵、退伍軍人身份、性別認同、性別表達、年齡、婚姻狀況、家庭狀況、殘疾或受適用法律保護的任何其他因素而區別對待。 我們的首要任務是消除障礙，為員工提供平等就業機會。人力資源部代表將盡力為應徵過程中提出要求的申請人提供合理協助。申請人要求提供協助所分享的信息將會按照適用法律及宏利／恒康政策儲存及使用。應徵過程中如需協助，請聯絡 [email protected]。 Working Arrangement 混合式 Salary & Benefits Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance. The actual salary will vary depending on local market conditions, geography and relevant job-related factors such as knowledge, skills, qualifications, experience, and education/training. If you are applying for this role outside of the primary location, please contact [email protected] for the salary range for your location. Manulife offers eligible employees a wide array of customizable perks, including health, dental, mental health, vision, short- and long-term disability, life and AD&D; insurance coverage, adoption/surrogacy and wellness advantages, and employee/family assistance plans. We also offer eligible employees various retirement savings plans (including pension and a global share ownership plan with employer matching contributions) and financial education and counseling resources. Our generous paid time off program in Canada includes holidays, vacation, personal, and sick days, and we offer the full range of statutory leaves of absence. If you are applying for this role in the U.S., please contact [email protected] for more information about U.S.-specific paid time off provisions. We use data and analytics technologies, such as artificial intelligence (AI), and automated processing tools, to analyze and process the information you provide to us or third parties in the application process. For more information, please refer to our personal information collection statement.

📌 Chief Compliance Officer Advisory Services (Burlington)
🏢 Manulife Financial
📍 Burlington