Drive compliance leadership at a top Canadian investment firm as Chief Compliance Officer in Toronto. Oversee compliance frameworks and ensure adherence to regulations in this pivotal in-office role.
This role reports to the Chief Operating Officer and is central to managing the firm’s compliance function. The Chief Compliance Officer is responsible for ensuring policies align with regulatory expectations, training employees, and acting as the firm’s liaison with regulatory agencies.
Key Responsibilities: - Ensure compliance with all securities legislation - Oversee compliance across all business activities - Handle client complaints as the designated officer - Act as primary contact for regulatory interactions - Manage compliance aspects of client onboarding and trading
Requirements: - Registration as Chief Compliance Officer with the Ontario Securities Commission - Broad knowledge of Canadian compliance frameworks - Demonstrated experience in investment firm compliance - Exceptional communication and detail-oriented skills - Familiarity with compliance management systems and emerging technologies
Elevate compliance standards and strengthen governance as Chief Compliance Officer.#J-18808-Ljbffr