Chief Compliance Officer Job in Vancouver, BC - Adecco
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Job Summary
Chief Compliance Officer
Location: Vancouver, BC Category: Accounting & Finance
Status: Direct Hire Reference: ca_en_2_026578_12546
Posted: January 13,2017 Salary: N/A

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Chief Compliance Officer l $100K+ - $125K+ l Vancouver, BC l Permanent

Adecco Professional has partnered with a growing brokerage firm to seek for a knowledgeable and motivated Chief Compliance Officer. The incumbent would possess exceptional communications skills and constantly kept abreast with the industry and regulatory changes.

Responsibilities

Oversee all compliance activity of the IIROC registered Broker/Dealer;
Monitor changes in the law and regulations that affect the firm and it's clients
Maintain information in account opening and activity review programs
Provide advisor support on compliance issues and handling all client complaints and reporting the necessary to the Board of Directors
Maintaining the firms Privacy Policy and AML programs
Review and approve all marketing materials
Monitor all firm communication including email
Review of outside account and pro account trading
Manage and review all product in the committee
Update Business Conduct and procedures
Liaision with regulatory agencies
Working in conjunction with NBCN on any credit issues relating to client accounts.
Perform Supervisory Review Procedures
Perform all registration (NRD) activities of the firm
Perform and oversee all Compliance Department activity of the Securities Commission registered Investment Funds Manager


Requirements:

Professional background in the financial services industry preferably with an IIROC dealer (preferred 3-5 years in a Branch Manager or Compliance supervisory role)
Must meet the regulatory proficiencies and be registered Compliance Officer


Strong technical ability on Microsoft Office suite and other programs.
Strong verbal and written communication skills



If you are interested in the Chief Compliance Officer in Vancouver, BC please apply now!




Executive Recruiter: Caroll Lai



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**Note: Accommodation will be provided in all parts of the hiring process as required under Adecco’s Employment Accommodation policy. Applicants will need to make their needs known in advance to their Adecco representative.**