Interim Chief Compliance Officer
About The Position
The Interim Chief Compliance Officer (CCO) serves as the senior compliance leader for the organization, responsible for overseeing the design, implementation, and effectiveness of the compliance program across business activities, investment products, and regulated functions. This executive provides independent oversight, strategic guidance, and risk-based advice to senior leadership while fostering a strong culture of ethics, integrity, and regulatory compliance. As a trusted advisor to executive stakeholders, the Interim CCO partners with business leaders to assess regulatory impacts, support strategic initiatives, and ensure compliance with applicable laws, regulations, and internal policies. The role provides leadership during a critical transition period while maintaining a robust control environment and ensuring continued regulatory readiness.
Requirements
- Bachelor's degree or equivalent combination of education and relevant experience.
- 8+ years of progressive compliance, regulatory, legal, risk management, or related experience within the financial services industry.
- Leadership experience managing compliance functions and teams.
- This role requires a registration with Canadian securities regulators as the Interim Chief Compliance Officer
Responsibilities
- Serve as the designated Chief Compliance Officer and provide compliance leadership and independent oversight to the business, senior management, and Board of Directors.
- Lead and oversee Vanguard Investments Canada's compliance program, ensuring compliance with applicable Canadian securities laws, regulations, and industry standards.
- Implement and maintain the Vanguard Group’s Global Compliance Program in Canada, aligning global compliance standards with Canadian regulatory requirements.
- Develop, maintain, and enhance compliance policies, procedures, controls, and monitoring programs to identify, assess, and mitigate regulatory and compliance risks.
- Lead the firm's compliance testing, surveillance, monitoring activities, and training, ensuring timely identification, escalation, and remediation of compliance matters and regulatory breaches.
- Monitor regulatory developments and assess their impact on Vanguard's Canadian operations, funds, products, and distribution activities.
- Maintain effective relationships with Canadian securities regulators and lead regulatory examinations, inquiries, audits, and compliance reporting activities.
- Act as management liaison to the Independent Review Committee (IRC) for Vanguard's public investment funds, including oversight of conflict-of-interest processes and regulatory reporting under NI 81-107.
- Partner with business, legal, risk, and operational stakeholders to provide compliance advice on strategic initiatives, new products, governance matters, and regulatory developments.
- Support and develop the Compliance function, establishing priorities, enhancing operational effectiveness, and driving continuous improvement in compliance processes, systems, and controls.
- Lead, coach, and develop a team of compliance professionals, fostering a high-performing and collaborative environment.
- Support executive and board-level reporting as required.
- Participate in strategic initiatives, special projects, and other duties as assigned.
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What This Job Offers
Job Type
Full-time
Career Level
Executive
