Chief Compliance Officer, Canada

Millennium Management LLC; New York (NY); On-site; USD 120,000 - 200,000; Full time

Job summary

A leading financial services firm seeks a Chief Compliance Officer in Canada to ensure adherence to regulatory guidelines while implementing innovative compliance initiatives. The role includes overseeing regulatory activities, developing compliance programs, and managing relationships with regulators. Ideal candidates will have extensive experience in compliance, stellar communication skills, and relevant regulatory certifications.

Qualifications

• Minimum 8 years of experience in compliance, risk management, or regulatory oversight in financial services.
• Outstanding analytical and problem-solving abilities.

Responsibilities

• Promote compliance culture, review regulated activities, and advise on regulatory changes.
• Educate personnel about compliance procedures and assess risks across business lines.
• Manage relationships with regulators and ensure accurate regulatory reporting.

Skills

Verbal Communication

Written Communication

Analytical Skills

Problem Solving

Education

Completion of Canadian Securities Course

Completion of Partners, Directors and Senior Officers Course

CFA Charter or equivalent professional designation

Tools

National Registration Database (NRD)

Job description

Chief Compliance Officer, Canada

We are seeking a Chief Compliance Officer to join our team in Canada. As a Chief Compliance Officer in Canada, you will play a crucial role in ensuring that our operations strictly adhere to regulatory guidelines, while driving forward innovative compliance initiatives.

Responsibilities

• Promote a culture of compliance, develop a strong and effective compliance programs and setting industry standards.
• Provide oversight, supervision, and review of all regulated activities within the firm, monitor and assess compliance of the firm, its registered individuals, and employees; and day to day guidance and strategic planning assistance to the business units.
• Advise on and implement regulatory changes, policy updates and compliance requirements to ensure continuous complianceand improvement of business operations.
• Advise management of issues, recommend corrective actions and work with business units to implement changes to firm wide operating policies and procedures in areas of compliance, portfolio management and trading.
• Develop written policies, processes and procedures to ensure regulatory compliance.
• Educate andtrain personnel about compliance procedures and new regulatory initiatives.
• Assist and provide regulatory support on existing tradingpractices and new initiatives.
• Collaborate with the global Compliance team to investigate and address regulatory concerns, and resolving issues.
• Assess inherent risks and conflicts of interests across internal business lines.
• Manage relationships with the applicable regulators on behalf of the firm.
• Develop and implement transactional, periodic, and forensic testing programs to assess the adequacy of the firm’s policies and procedures.
• Assist the firm in implementing corrective actions as identified by the testing programs.
• Manage regulatory and sweep examinations.
• Maintain all regulatory registrations and authorizations.
• Respond to complex compliance audit questions and requests from business units and provincial regulators.
• Ensure timely and accurate regulatory reporting to securities regulatory authorities, FINTRAC, and other regulatory bodiesas required.
• Recommend risk management methods.
• Oversee the firm's AML and privacy compliance programs.

Qualifications

• Minimum 8 years of experience in compliance, risk management, or regulatory oversight within the financial services industry.
• Outstanding verbal and written communication skills, along with outstanding analytical and problem-solving abilities.

• Completion of Canadian Securities Course and Partners, Directors and Senior Officers Course.
• Working knowledge of the National Registration Database (NRD).
• Earned a CFA Charter or an equivalent professional designation (viz. Chartered Accountant, Certified General Accountant, Certified Management Accountant)