Chief Compliance Officer Advisory Services

Manulife•Toronto, ON

2d•Hybrid

About The Position

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.

Requirements

10 years experience
Prior CIRO registered Chief Compliance Officer

Responsibilities

Ensure compliance with CIRO regulations and other applicable securities laws, providing guidance and oversight to the organization on all compliance-related matters.
Develop, implement, and maintain compliance policies and procedures, ensuring they are current and effectively communicated throughout the organization.
Identify, assess, and mitigate compliance risks associated with our operations, implementing strategies to manage these risks effectively.
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.
Design and conduct training programs to ensure that employees are knowledgeable about compliance requirements and ethical standards.
Serve as the primary point of contact for regulatory bodies, including CIRO, managing communications and inquiries effectively.
Lead the compliance team, encouraging professional development and ensuring high performance. Collaborate with other departments to integrate compliance practices into business operations.