Director Corporate Compliance

Nashville Public Radio; Canada; On-site; CAD 100,000 - 150,000; Full time

Job summary

A financial services firm is looking for a Director of Corporate Compliance to oversee the compliance program, ensure adherence to regulations, and manage compliance technologies. The ideal candidate will have extensive experience in compliance and the ability to implement efficiencies and automation in processes. Strong analytical skills, management experience, and a thorough understanding of compliance regulations are essential for this role located in Canada.

Qualifications

• Extensive experience in corporate compliance and regulatory affairs.
• Proven ability to manage compliance programs and technologies.
• Strong analytical and problem-solving skills.

Responsibilities

• Oversee Corporate Compliance Program across the organization.
• Monitor business activities for compliance with policies and regulations.
• Administer compliance technology systems efficiently.

Skills

Compliance oversight

Regulatory knowledge

Management skills

Analytical skills

Job description

Company in Financial Services is looking to hire a Director of Corporate Compliance

• Director will have oversight of Corporate Compliance Program including the support of other affiliated entities within the organization
• Monitors business activities to ensure the firm remains in compliance with its policies and procedures as well as industry regulations.
• Administers compliance technologies systems for corporate compliance functions. Implement efficiencies and automation. Ensure systems are maintained to reflect accurate supervisory systems and employee data.
• Conducts surveillance and oversight of employee disclosures.
• Facilitates new hire background checks and fingerprinting; reviews and approves new and amended U4s.
• Oversees registrations process for multiple firms to include licensing and firm required disclosures (Form U4, U4, BR, BD)
• Oversee and facilitate the firm element training program, quarterly attestations, compliance newsletter and educational collateral. Review and revise firm policies and procedures as necessary.
• Participate in specific compliance related projects and serve as senior-level team member
• Escalate matters to entity CCO’s when needed.
• Collaborate with foreign affiliates to onboard employees to US broker dealer entities where necessary
• Identify areas of automation and efficiencies, implements new technologies and enhance workflows
• Manage and cross train staff, ensure development plans are in place with employee goals and objectives
• Research and report new rules and regulations and how they affect the business activities of the firm to ensure Compliance.