Vice-president & Chief Compliance Officer - Winnipeg, Canada - Wellington-Altus Private Wealth Inc.

Wellington-Altus Private Wealth Inc.

Verified Company

Winnipeg, Canada

3 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

Description

Vice-President & Chief Compliance Officer - Independent Advisory Services

Location:
This position will be based out of our Winnipeg or Toronto office.

Our organization:

Founded in 2017, Wellington-Altus Financial Inc.

(Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc., Wellington-Altus Asset Management Inc., and Wellington-Altus Private Wealth Inc.—the top-rated* wealth advisory company in Canada and one of Canada's Best Managed Companies.

With more than $25 billion in assets under administration and offices across the country, Wellington-Altus identifies with successful, entrepreneurial advisors and portfolio managers and their high-net-worth clients.

- _Investment Executive 2023 Brokerage Report Card._

The opportunity:

Reporting to the Executive Vice-President, Digital Strategy & Compliance, WAFI, the Vice-President & Chief Compliance Officer - Independent Advisory Service's primary responsibility is to act as the Chief Compliance Officer (CCO) to the Company and will include any responsibilities imposed under applicable laws and the requirement of applicable securities regulatory authorities.

Key responsibilities include:

Gaining the necessary education and certifications required to become registered in the role of CCO.
Providing expert and strategic regulatory advice to management.
Setting internal regulatory policies, procedures and controls.
Evaluating and weighing the impact of decisions or actions on the Company from a regulatory perspective.
Proactively identifying risks and potential regulatory issues.
Ensuring identified regulatory risk management priorities are appropriately reflected in the Company's business plan.
Representing the Company with external parties, including securities regulatory authorities, selfregulatory organizations, and, if appropriate, clients.
Staying apprised of regulatory changes and developments.
Establishing and maintaining policies and procedures for assessing compliance by the Company and the individuals acting on its behalf, as set out in National Instrument
Monitoring and assessing compliance with applicable securities laws and the requirements of applicable selfregulatory organizations and reporting the results of their assessment to the board of directors of the Company at least annually.
Reporting all material incidents of noncompliance with the Company's requirements and applicable securities laws to the Company's CRO and Ultimate Designated Person (UDP) as soon as possible after becoming aware of the matter, including any incidents of noncompliance that creates a reasonable risk of harm to clients, or where noncompliance is part of a pattern of noncompliance.
For this purpose, the Employee is entitled to have direct access to the UDP and the board of directors of the Company, as needed, to report significant issues as they arise; and
Providing the board of directors of the Company with reasonable assurance that all standards and requirements of applicable securities laws and regulations, and the Company's requirements, are met, including the preparation of the annual report to the board of directors which identifies and discusses material findings and deficiencies identified by securities regulatory authorities, disciplinary actions, compliance risk trends as well as any other relevant findings or reports.
Developing and writing offer documents and fund company operational processes.
Monitoring the fund company/asset managing activities from a both a compliance and security law perspective on a daily/weekly/monthly basis.
Remaining in contact and developing ongoing relationships with the MSC and OSC as our principles.
Performing other duties as assigned.
A bachelor's degree in business administration, accounting, finance, or similar field of study; advanced degree preferred.
A minimum of 15 years' experience in regulatory compliance or related function.
5 years' experience in a leadership capacity within a fund company supervision role.
Successful completion of the Officers Partners Directors course and other relevant industry courses
Completion of CPA certification is a strong asset.
Working knowledge of both provincial and national securities laws, and other pertinent securities laws and regulations.
Experience with Canadian regulators, particularly the Canadian Securities Administrators ("CSA") and OSC.
Proficiency with the MSOffice suite, including Word, Excel, Powerpoint, Teams, and Outlook.
10+ years' financial services industry experience working in a high growth environment.
Adaptability to change culture and management.
Senior leadership capability and ability to provide effective oversight.
Exceptional organizational and writing skills.
A proven ability to multitask and work both independently and a