Vice President, Compliance – Wealth Management

CGC Canaccord Genuity Corp.

Toronto

On-site

CAD 180,000 - 240,000

Full time

3 days ago

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Job summary

Canaccord Genuity Group Inc. in Toronto seeks a Vice President to join the Wealth Management Compliance team. The role leads the Compliance Business Oversight and Advisory function, reporting to the Chief Compliance Officer, and focuses on regulatory control for the firm and its clients.

The role requires extensive knowledge of securities regulation, AML and privacy laws, and strong leadership. You will guide product and service approvals, supervise registrants, and partner with leadership to

Qualifications

10+ years of progressive compliance experience within wealth management, investment advisory, private banking, brokerage, or financial services.
5+ years of leadership experience managing compliance teams.
Strong knowledge of securities regulation, retail wealth management supervision, and compliance governance frameworks.
Experience interacting with regulators and managing regulatory examinations.
Demonstrated ability to influence senior stakeholders and balance regulatory requirements with commercial objectives.
Completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) is required.
Completion of the Chief Compliance Officers Qualifying Examination (CCO Course) would be considered an asset.

Responsibilities

Lead the Compliance Business Oversight and Advisory function of Compliance Canada for the Wealth Management division of CG.
Develop, implement, and maintain the effectiveness and currency of the firm’s compliance program for Wealth Management activities.
Ensure oversight of the firm’s compliance with applicable securities regulations, CIRO rules, AML requirements, privacy legislation, and other regulatory obligations.
Monitor regulatory developments and assess their impact on business operations, policies, procedures, and controls.
Conduct compliance risk assessments and oversee remediation plans for identified gaps or regulatory concerns.
Provide guidance on new products, services, client solutions, marketing initiatives, and strategic business initiatives.
Oversee the supervision framework for supervisors, portfolio managers and registrants.
Act as a primary liaison with regulatory bodies and external stakeholders during examinations, audits, inquiries, and investigations.
Coordinate regulatory filings, responses to regulatory requests, and remediation efforts.
Support management and the Board in maintaining strong regulatory relationships and governance practices.
Partner with Wealth Management business leadership to provide practical, risk-based compliance advice.
Advise on suitability, KYC, KYP, conflicts of interest, client disclosures, and sales conduct matters.
Drive continuous improvement and innovation within the compliance function.

Skills

Regulatory compliance oversight

Leadership

Securities regulation

Regulatory examinations

Stakeholder influence

Education

CSC & CPH required

CCO Course asset (nice-to-have)

Job description

Summary

Canaccord Genuity (CG) is a leading independent full-service financial services firm, with operations in two principal segments of the securities industry: wealth management and capital markets. CG is driven by an unwavering commitment to building lasting client relationships. We achieve this by delivering value to our individual, institutional, and corporate clients through comprehensive investment solutions, brokerage, and investment banking services. We are the leading independent wealth management firm in Canada, and the leading mid-market provider of investment banking advisory, equity research, sales and trading services for corporations and institutions. We pride ourselves on understanding our clients’ needs and finding innovative, tailored solutions. Our entrepreneurial and friendly team will challenge you to learn and grow every day. We value great work and collaboration and strive to eliminate bureaucratic thinking.

Role Overview

We’re looking for a Vice President to join our Wealth Management Compliance team, based in Toronto. Reporting to the Chief Compliance Officer, this role will lead the Wealth Management Compliance Business Oversight and Advisory team, contributing to the regulatory control of Canaccord Genuity by providing the highest standard of integrity for the firm and its clients.

Responsibilities

Lead the Compliance Business Oversight and Advisory function of Compliance Canada for the Wealth Management division of CG. Develop, implement, and maintain the effectiveness and currency of the firm’s compliance program for Wealth Management activities through ongoing engagement and enhancements. Ensure oversight of the firm’s compliance with applicable securities regulations, CIRO rules, AML requirements, privacy legislation, and other regulatory obligations. Monitor regulatory developments and assess their impact on business operations, policies, procedures, and controls. Conduct compliance risk assessments and oversee remediation plans for identified gaps or regulatory concerns. Provide guidance on new products, services, client solutions, marketing initiatives, and strategic business initiatives. Oversee the supervision framework for supervisors, portfolio managers and registrants (including registered representatives, investment representatives and officers) Collaborate on monitoring and testing mandates for Branch reviews, supervisory testing, trade surveillance, client complaint oversight, and advisor conduct reviews. Act as a primary liaison with regulatory bodies and external stakeholders during examinations, audits, inquiries, and investigations. Coordinate regulatory filings, responses to regulatory requests, and remediation efforts. Support management and the Board in maintaining strong regulatory relationships and governance practices. Partner with Wealth Management business leadership to provide practical, risk-based compliance advice. Advise on suitability, KYC, KYP, conflicts of interest, client disclosures, and sales conduct matters. Drive continuous improvement and innovation within the compliance function.

Skills & Qualifications

10+ years of progressive compliance experience within wealth management, investment advisory, private banking, brokerage, or financial services.
5+ years of leadership experience managing compliance teams.
Strong knowledge of securities regulation, retail wealth management supervision, and compliance governance frameworks.
Experience interacting with regulators and managing regulatory examinations.
Demonstrated ability to influence senior stakeholders and balance regulatory requirements with commercial objectives.
Completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) is required.
Completion of the Chief Compliance Officers Qualifying Examination (CCO Course) would be considered an asset.

Eligibility & Application Requirements

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In order to be considered for employment, candidates selected for interviews will be required to show proof of citizenship, permanent residence or eligibility to work in Canada with no restrictions.