We are seeking an experienced and strategic Chief Compliance Officer (CCO) to lead our compliance initiatives for our CIRO-regulated dealer operations. The CCO will ensure that our firm adheres to all regulatory requirements set forth by the Canadian Investment Regulatory Organization (CIRO), fostering a culture of integrity and compliance. This position requires a deep understanding of securities regulations, exceptional leadership skills, and the ability to effectively manage compliance risks.
Position Responsibilities: - Regulatory Oversight: Ensure compliance with CIRO regulations and other applicable securities laws, providing guidance and oversight to the organization on all compliance-related matters.
- Policy and Procedure Development: Develop, implement, and maintain compliance policies and procedures, ensuring they are current and effectively communicated throughout the organization.
- Risk Assessment and Management: Identify, assess, and mitigate compliance risks associated with our operations, implementing strategies to manage these risks effectively.
- Monitoring and Reporting: Establish and maintain monitoring systems to ensure ongoing compliance with regulatory requirements. Prepare and deliver comprehensive compliance reports to senior management and the board of directors.
- Training and Education: Design and conduct training programs to ensure that employees are knowledgeable about compliance requirements and ethical standards.
- Regulatory Liaison: Serve as the primary point of contact for regulatory bodies, including CIRO, managing communications and inquiries effectively.
Leadership and Collaboration: Lead the compliance team, encouraging professional development and ensuring high performance. Collaborate with other departments to integrate compliance practices into business operations.
Required Qualifications:- 10 years experience
- Prior CIRO registered Chief Compliance Officer
When you join our team:- We'll empower you to learn and grow the career you want.
- We'll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
- As part of our global team, we'll support you in shaping the future you want to see.
The role being advertised is an existing vacancy.
Working ArrangementHybrid
Salary & BenefitsEmployees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance. The actual salary will vary depending on local market conditions, geography and relevant job-related factors such as knowledge, skills, qualifications, experience, and education/training. If you are applying for this role outside of the primary location, please contact [redacted] for the salary range for your location.
Manulife offers eligible employees a wide array of customizable benefits, including health, dental, mental health, vision, short- and long-term disability, life and AD&D insurance coverage, adoption/surrogacy and wellness benefits, and employee/family assistance plans. We also offer eligible employees various retirement savings plans (including pension and a global share ownership plan with employer matching contributions) and financial education and counseling resources. Our generous paid time off program in Canada includes holidays, vacation, personal, and sick days, and we offer the full range of statutory leaves of absence. If you are applying for this role in the U.S., please contact [redacted] for more information about U.S.-specific paid time off provisions.
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