Chief Compliance Officer

Job description

Job Description Chief Compliance Officer Build the future with us: The Chief Compliance Officer (CCO) oversees all aspects of regulatory compliance for the firm, which is one of Canada’s largest independent CIRO dealers. This role also supports iA Capital Markets, a mid-market capital markets business with a retail focus. This role involves developing and implementing compliance programs, conducting risk assessments, providing training where necessary and ensuring the firm’s adherence to regulatory standards. The CCO also supervises trading activities, ensuring compliance in portfolio management, complex products and alternative investments. Reporting to the President/CEO, the CCO will ensure that both advisors and internal staff operate within the legal and ethical standards of the industry. What you’ll accomplish with us: Compliance Program Development : Continually design and implement the firm’s compliance program to align with Canadian regulatory standards. Trading Oversight: Oversee trading activities, including monitoring securities transactions, managing credit and cash flow and handling trade error resolution. Portfolio Management Compliance : Ensure compliance with best p...