Chief Compliance Officer

019983 Hub Capital Inc.; Vaughan; On-site; CAD 120,000 - 180,000; Full time

Job summary

HUB Capital is seeking a Chief Compliance Officer to lead compliance efforts across Canada. This role involves strategic oversight of compliance programs, risk management, and regulatory affairs. The ideal candidate will have extensive experience in compliance, strong analytical skills, and the ability to navigate industry regulations effectively.

Benefits

Customizable flexible benefits options

Company matching RRSP contributions

Comprehensive tuition financing

Work-life balance through flexible scheduling

Mental and physical wellness initiatives

Qualifications

• Minimum 10 years of experience in a compliance capacity within the industry.
• Proven experience as a Chief Compliance Officer or similar role.
• Experience with CIRO, MFDA, and IIROC is required.

Responsibilities

• Manage the national compliance program and oversee risk management.
• Ensure compliance with regulatory requirements across Canada.
• Provide strategic leadership and report compliance matters to the Board.

Skills

Leadership

Analytical skills

Risk management

Compliance knowledge

Problem-solving

Education

University degree in finance or business administration

ACAMS Certification

Job description

At HUB Capital, we pride ourselves on fostering an environment dedicated to professional growth and client-centric values. As part of the HUB International family, we specialize in offering tailored financial solutions, empowering our clients across Canada to achieve their long-term goals through our network of independent financial advisors. Our commitment to excellence extends beyond delivering top-tier products – it encompasses a culture that values collaboration, innovation, and continuous learning.

We are proud to offer:

• Customizable flexible benefits options for you and your family
• Company matching RRSP contributions
• Comprehensive tuition financing and career-related training and development
• Work-life balance through flexible scheduling and hours
• Mental and physical wellness initiatives
• HUB Cares: as a company that gives back and is active in the community

Learn more about HUB’s Culture & Values.

The Opportunity:

As the Chief Compliance Officer (CCO) at HUB Capital, a mutual fund dealer level member of the Canadian Investment Regulatory Organization, you’ll play a key role in ensuring our organization operates and is positioned for growth within the boundaries of regulatory requirements and industry standards. You will provide strategic leadership to the HUB Management team and be responsible for HUB’s compliance program across Canada, overseeing risk management, policies, procedures, regulatory reporting, examinations, investigations, and guiding the National Compliance Team. Your responsibilities will encompass all aspects of compliance, requiring a deep understanding of financial products, strategies, regulations, and industry best practices.

This individual should have a proven track record of leadership in compliance, with the ability to navigate industry-specific regulations seamlessly. Ethical integrity and a commitment to upholding the highest standards of compliance are essential.

We value strong analytical skills, industry experience, the ability to assess compliance risks comprehensively, and to find innovative solutions. Adaptability is vital given the ever-evolving regulatory landscape, and meticulous attention to detail ensures our compliance programs are robust and effective. We seek someone with unwavering conviction and resilience, who fosters collaboration within teams and approaches problem-solving proactively.

A Day In The Life:

• National Compliance Team Management: Directly manage the national program, providing leadership, guidance, and support. Ensure the team is properly resourced to meet its responsibilities, and create and communicate policies and procedures to the team, management, and advisors.
• Regulatory Affairs Management: Manage regulatory affairs across Canada, stay current with applicable legislation, regulations, and policies, and ensure compliance. Provide all required reporting to regulatory bodies. Oversee registration processes, due diligence, and approvals for new Mutual Fund Representatives. Ensure appropriate insurance and bonding are in place. Maintain key regulatory relationships and participate in industry groups.
• Strategic Leadership and Compliance Oversight: Provide strategic leadership on compliance and risk management. Implement and enforce corporate policies and procedures across Canada. Oversee client complaint resolutions and advisor inquiries, including responses to regulatory bodies and OBSI. Serve as the primary escalation point for client and advisor issues. Report compliance matters to the Board quarterly and ensure adherence to good business practices and legislation.

Who you are:

• Proven experience as a Chief Compliance Officer or similar role within Canadian investment-related regulatory compliance.
• A university degree in finance, business administration, or a related field is preferred.
• Chief Compliance Officer proficiency and related experience are required.
• ACAMS Certification is preferred.
• Experience with CIRO, MFDA, and IIROC is required.
• Bilingual or working knowledge of French is a plus.
• Minimum 10 years of experience in a compliance capacity within the industry.

About HUB International:

Headquartered in Chicago, Illinois, HUB is a leading global insurance broker and financial services firm with over 17,000 employees across North America. We provide risk management, insurance, employee benefits, retirement, and wealth management solutions. Our dedication to excellence and innovation has earned us the ranking of the 5th largest insurance brokerage worldwide. We are committed to helping clients prepare for tomorrow through tailored solutions and advocacy.

If you’re interested in growing your career at HUB, please visit our website to explore opportunities.

Department: Risk Management & Loss Control. Required Experience: 10-15 years. Required Travel: Up to 25%. Required Education: Bachelor's degree (4-year).