Who we are:Harbourfront Wealth is a dynamic industry leader specializing in financial services and wealth management. We are a fast‑growing wealth management firm with over $15 billion in assets under administration, comprised of five integrated entities: CIRO dealer, investment counsel, asset manager, U.S. Registered Investment Advisor (RIA) and insurance company. Harbourfront Wealth Counsel is a wealth management entity operating under the broader Harbourfront Wealth Management platform. HWC provides comprehensive investment advisory and wealth management services to high‑net‑worth and qualified clients across Canada.Career opportunity:Our subsidiary,Harbourfront Wealth Counsel, is looking to hire a permanent full‑time Chief Compliance Officer to join our growing firm. As Chief Compliance Officer, you will have primary responsibility for overseeing and ensuring HWC’s compliance with applicable securities regulations and regulatory requirements. This role is accountable for maintaining a strong compliance framework across the firm and supporting a culture of regulatory integrity among employees.Responsibilities:Review and approval of new client documentationMaintenance and oversight of HWC’s policies and procedures manualOversight of HWC’s marketing, social media, and advertising materialsApproval of outside business activities, including identifying and mitigating conflicts of interestSupporting the due diligence and ongoing monitoring of service providersDevelop and deliver firm compliance trainingMonitor and implement regulatory updates and changes to legislationEnsure relationship disclosure information and conflicts of interest disclosures remain current and are provided to clients at account opening and upon required updates for existing clientsReview and respond to client complaintsOversee anti‑money laundering and anti‑terrorist financing training and compliance as HWC’s AML Compliance Officer, ensuring adherence to PCMLTFA requirements and applicable international regulations,



including UN anti‑terrorism measuresServe as Privacy OfficerAddress regulatory inquiries and ensure all required filings are completedQualifications:Proven experience in a senior compliance, governance, or regulatory oversight role within the wealth management or financial services industryStrong working knowledge of CIRO regulations, securities legislation, and regulatory expectationsDemonstrated experience reviewing and approving client documentation, disclosures, and regulatory filingsHands‑on experience overseeing policies and procedures manuals, including ongoing updates and maintenanceSolid understanding of conflicts of interest, outside business activities, and mitigation frameworksExperience overseeing marketing, advertising, and social media materials for regulatory complianceKnowledge and experience conducting initial due diligence and ongoing oversight of third‑party service providersExperience designing, delivering, or overseeing firm‑wide compliance and regulatory training programsStrong understanding of AML/ATF requirements, including PCMLTFA obligations and international sanctions/anti‑terrorism regulationsPrior experience acting as, or working closely with, an AML Compliance Officer and Privacy OfficerExperience reviewing, investigating, and responding to client complaints and regulatory inquiriesStrong organizational skills with the ability to manage multiple regulatory priorities simultaneouslyHigh attention to detail with strong written and verbal communication skillsAbility to work independently while partnering effectively with senior leadership and business stakeholdersSalary Range$180,000 - $210,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity).Diversity and InclusionDiversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.#J-18808-Ljbffr

📌 Chief Compliance Officer (Harbourfront Wealth Counsel) - C$180,000 - C$210,000 A Year (Toronto)
🏢 Harbourfront Wealth
📍 Toronto