Chief Compliance Officer (CCO)

Agentis Capital; Toronto; Remote; CAD 100,000 - 150,000; Part time

Job summary

A leading global financial firm is seeking a Chief Compliance Officer to ensure adherence to regulations and ethical standards. This role involves collaborating with leadership, developing compliance strategies, and maintaining a culture of ethics within the organization. Ideal candidates will have extensive experience in compliance and risk management within the financial sector.

Qualifications

• Minimum five years in compliance or risk management in financial services.
• Experience with CIRO broker dealer relationship management.

Responsibilities

• Ensure operations adhere to laws and industry standards.
• Provide guidance and strategic direction in compliance.

Skills

Compliance

Risk Management

Leadership

Communication

Education

Bachelor's Degree in Finance

Bachelor's Degree in Business

Bachelor's Degree in Law

Tools

National Registration Database (NRD)

Back-office Systems

Job description

Agentis Capital a fast-growing, global independent financial firm with a leading reputation for insightful analysis and exceptional execution. Agentis is dedicated to providing our clients with transparent, comprehensive financial services that unlock value at every stage. We advise across a multitude of sectors and geographies, for global leaders in infrastructure, mining and diversifieds.

Agentis Capital operates a dynamic platform consisting of four core business segments : Agentis Capital Partners (focused on principal investments), Agentis Capital Advisors (providing financial advisory and asset management services), Agentis Capital Mining Partners (specializing in mining advisory), and Agentis Capital Markets (dedicated to capital markets operations).

The Opportunity :

We are seeking a highly skilled and experienced Chief Compliance Officer (CCO) to join our team at Agentis Capital Markets, a CIRO registered broker dealer with offices in Toronto and Vancouver. In the CCO role, you will play a crucial part in ensuring that our operations and activities adhere to all relevant laws, regulations, and industry standards. You will collaborate closely with leadership to maintain our commitment to the highest ethical and compliance standards, providing guidance, oversight, and strategic direction in the realm of compliance. This is a unique opportunity to contribute to the growth and success of a globally respected financial firm.

Your Skills and Experience :

• Minimum of five years of relevant work experience in compliance, risk management, or a related field within the financial services sector
• Experience with CIRO broker dealer relationship management, reporting and supervision of sales and trading activities
• A comprehensive understanding of Canadian financial regulations, including but not limited to Anti-Money Laundering (AML), Know Your Customer (KYC), and other relevant financial compliance regulations.
• Knowledge of back-office systems and carrying broker relationship management.
• Working knowledge of the National Registration Database (NRD) and UMIR rules
• Completion of required CCO qualifying exams and registrations, including PDO and Supervisor exams
• A bachelor's degree in finance, business, law, or a related field is an asset.
• Exceptional leadership and management skills with the ability to inspire a culture of compliance and ethics within the organization.
• Demonstrated ability to develop and implement compliance strategies, programs, policies and procedures in alignment with the company's goals and regulatory requirements.
• Outstanding written and verbal communication skills, including the ability to effectively communicate complex compliance matters to diverse stakeholders.
• A strong commitment to ethical conduct, integrity, and a keen sense of responsibility in upholding regulatory compliance and industry best practices.
• Proven ability to collaborate effectively with cross-functional teams and build strong working relationships with colleagues at all levels.
• A commitment to staying updated on industry trends, regulatory changes, and best practices through ongoing professional development.

Position Type

• Part Time
• Location : Remote

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