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Chief Compliance Officer

Description

  • Reports to the Ultimate Designated Person (UDP).
  • Responsible for establishing and overseeing the firm’s compliance regime, policies, and procedures.
  • Primary duties are to oversee the supervision of the firm to ensure compliance with legislation and regulations.
  • Responsible for escalating and advising on activity that violates legislation and regulations to the UDP and reporting on the status of the firm’s compliance to the Board of Directors.

Key skills or attributes

  • Strong leadership
  • Knowledgeable and well-informed
  • Articulate
  • Excellent judgement
  • Problem solver

Salary range:
$92,000 – $170,000

Recommended courses:
Officers’, Partners’ and Directors’ Course (OPD)
Ethics and Professional Conduct Course (EPC)
Canadian Investment Funds Course (CIFC)
Exempt Market Proficiency Course (EMP)
Exchange-Traded Funds Course