We are 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.
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