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 & Skilled Services
- Insurance
- Publicly Traded
- Fin Tech
- 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

📌 Chief Compliance Officer (CCO) (Waterloo)
🏢 Important Group
📍 Waterloo