Chief Compliance Officer - (CA-AB-Calgary - T3Z 3W2)

Compensation: $100K - $140K / Year
Minimum Education: Tech School
Job Type: Part Time
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Our client is one of the largest financial services company in it’s specialty in Canada. They have offices across Canada with top notch technology and superior back office systems.

Responsibilities
1) Manage and develop provincial compliance officers and the Head Office Compliance Team
2) Ensure the delivery of compliance training to advisors and other staff
3) Oversee trade review
4) Day-to-day support to business units regarding compliant sales practices
5) Handle semi-annual reporting to the Board of Directors on all compliance and associated risk matters
6) Manage product review process
7) Design and execute audit and on-site branch review processes
8) Investigate and report exceptions as well as compliance issues
9) Track and advise emerging compliance issues as well as new regulatory initiatives and requirements, developing and implementing associated policies and procedures
10) Ensure privacy and anti-money laundering compliance
11) Liaise with internal and external contacts to communicate regulatory requirements
12) Evaluate and update business process documentation with a focus on identifying key internal controls
13) Assess the adequacy and effectiveness of business process controls through interviews, examination of documents as well as observation

Requirements
1) Degree in related discipline and relevant courses
2) 4 – 7 years of experience in working in the financial industry (securities environment)
3) Expertise in understanding the regulatory environments for financial institutions as well as applicable regulatory policies, guidelines and procedures
4) Knowledge of MFDA rules, relevant national instruments and provincial securities acts and regulations as well as their applications
5) Strong communication (verbal and written) and interpersonal skills
6) Proactive issue identification, problem solving and decision making skills
7) Industry courses and eligibility for registration with provincial securities commission
8) Good judgment and the ability to resolve conflicts and manage competing interests
9) Excellent personal work standards that are an expression of personal integrity and that lead by example
10) High level of professionalism in all communications, interaction and presentation

Applicants are encouraged to apply directly by going to: http://www.fepsearchgroup.com/accounting-jobs/accounting-job-01091.html