VP, Wealth Management Compliance & Oversight

Canaccord Genuity Corp.; Toronto; Presencial; CAD 160 000 - 210 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

Resumo da oferta

Canaccord Genuity Corp. in Toronto seeks a Vice President to lead the Wealth Management Compliance Business Oversight and Advisory team, reporting to the Chief Compliance Officer.

This role will drive the regulatory program for Wealth Management, ensuring adherence to securities regulations, CIRO rules, AML, and privacy, while advising on products, client solutions, and marketing initiatives. The successful candidate will supervise the oversight framework for branch reviews, supervisor and

Qualificações

• 10+ years of progressive compliance experience within wealth management or financial services.
• 5+ years of leadership experience managing compliance teams.
• Strong knowledge of securities regulation, retail wealth management supervision, and compliance governance.

Responsabilidades

• Lead the Wealth Management Compliance Business Oversight and Advisory function for Canada.
• Develop, implement, and maintain the compliance program for Wealth Management activities.
• Ensure oversight of regulatory requirements (securities, CIRO rules, AML, privacy).
• Monitor regulatory developments and assess impact on policies and controls.
• Conduct risk assessments and oversee remediation of identified gaps.
• Provide guidance on products, services, client solutions and marketing initiatives.
• Oversee supervision framework for supervisors, portfolio managers, and registrants.
• Collaborate on monitoring and testing mandates for branch reviews and trade surveillance.
• Act as liaison with regulators during examinations, audits, and inquiries.
• Coordinate regulatory filings and remediation efforts; support management and governance.

Formação académica

CSC Certification

CPH Certification

CCO Course (asset)

Descrição da oferta de emprego

Canaccord Genuity Corp. in Toronto seeks a Vice President to lead the Wealth Management Compliance Business Oversight and Advisory team, reporting to the Chief Compliance Officer.

This role will drive the regulatory program for Wealth Management, ensuring adherence to securities regulations, CIRO rules, AML, and privacy, while advising on products, client solutions, and marketing initiatives. The successful candidate will supervise the oversight framework for branch reviews, supervisor and