Chief compliance officer advisory services

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. 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. Prior CIRO registered Chief Compliance Officer We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words. Le poste annoncé correspond à une vacance existante. Salaire et avantages sociaux Le salaire varie en fonction des conditions du marché local, de la géographie et de facteurs pertinents liés au poste telles les connaissances, les compétences, les qualifications, l’expérience et l’éducation ou la formation. Manuvie offre aux employés admissibles une vaste gamme d’avantages sociaux personnalisables, notamment une assurance soins médicaux, soins dentaires, santé mentale, soins de la vue, invalidité de courte et de longue durée, assurance vie et assurance DMA, assurance adoption, de maternité de substitution et de soins médicaux non urgents ainsi que des programmes d’aide aux employés et leur famille. Nous proposons également aux employés admissibles différents régimes d’épargne-retraite (y compris des régimes de rente et un programme international d’actionnariat assortie de cotisations patronales de contrepartie) ainsi que des ressources en matière d’éducation et de conseils financiers. Nous utilisons des technologies de données et d’analytique, telles que l’intelligence artificielle (IA), ainsi que des outils de traitement automatisé pour analyser et traiter les renseignements que vous nous fournissez ou que des tiers nous transmettent dans le cadre du processus de demande.