Title: (Chief) Compliance Officer

Our client

Founded in 1995, our client is an independent wealth management firm based in Montreal. They specialize in empowering Canadian professionals, executives, entrepreneurs, and retirees with comprehensive, integrated financial solutions.

Our client offers a suite of tailored services including:

• Portfolio Management
• Financial Planning
• Tax Planning
• Additional Personalized Care

The (Chief) Compliance Officer role is primarily focused on the compliance oversight of their wealth management firm.

Key responsibilities:

The (Chief) Compliance Officer role is divided into three main areas:

1. Firmwide Compliance Oversight

• Ensure all operations comply with legal and regulatory standards.
• Oversee the implementation of compliance policies and procedures

• Oversee compliance audits and risk assessments.

2. Firmwide Compliance Training

• Develop and deliver compliance training programs for staff.
• Ensure ongoing education about regulatory changes and compliance best practices.

• Manage relationships with regulatory bodies (e.g., AMF, OSC).
• Handle all necessary filings, attestations, and reports as mandated by NI 31-103.
• Coordinate with external auditors for compliance checks and implement any required changes.

Qualifications:

• Be an existing CCO or have the ability and background to immediately qualify as a CCO
• Completion of the PDO Exam or CCO Qualifying Exam with relevant experience.
• At least 5 years of experience in the securities industry, with 36 months in a compliance role
• Strong understanding of financial regulations and ability to coordinate work with internal and external financial, legal and regulatory participants.
• Excellent communication and interpersonal skills.
• Bilingual proficiency in English and French.
• Comfort with technology and adaptability to new systems.

Compensation & Benefits

• Competitive compensation package
• RRSP contributions
• Comprehensive benefits including health, dental, drug, and vision coverage.
• Opportunity for ownership through shareholder status.
• Support for professional development.

• Convenience: Free on-site parking for stress-free commuting.
• Professional Growth: Coverage for professional development courses to support your career advancement.

Title: Financial Planner

A career as a Financial Planner, you will play an important role with your clients. Through the 7 fields of financial planning, you will work closely with the team to help and advise your client in a distinctive and personalized way in achieving their life goals through the development of their financial plan. 

Your work will allow you to develop your business relationships, your entrepreneurship, your advisory role and to leverage your leadership. In this role, you will join our client where you will be recognized and where you can make a positive impact!

Your job

• Realize personalized financial planning that will meet the needs and objectives of your clients
• Identify clients' investment and financing needs in order to offer them the best financial planning solutions
• Identify and exploit business development opportunities to increase the number of new customers and grow the volume of existing portfolios
• Keep up with changing customer needs in order to offer adapted solutions and an extraordinary customer experience
• Ensure the application of quality of service and operational quality standards, as well as compliance and risk management rules

Your team

As part of a large team of colleagues in the Personal Banking sector, you will report to the Financial Planners Manager. You will be responsible for the clientele of three branches in the Oakville region (Sheridan Garden Drive, Winston Churchill, Fairview).

Our learning-by-doing training programs enable you to master your job. Access to colleagues with different expertise, experience and profiles will enrich your development in every way.

Prerequisites

• Bachelor's degree (or equivalency recognized by FP Canada) as well as relevant experience in business development in the field of financial advisory services
• Certified Financial Planner (CFP) designation or on track to become CFP in the next 12 months, or QAFP, PFP, and CIFP
• Mutual Funds Representative (MFR) License
• Portfolio management experience with business development objectives to achieve
• Good team player and have a collaborative spirit.

This position requires you to be present in the workplace to fulfill client and operational needs. 

Our client wants to contribute to your quality of life by offering you as much flexibility as possible in your work. For example, our client offers work schedule arrangements to help you achieve work/life balance and flexible leave that you can take when it’s important to you.

Your benefits

In addition to competitive compensation, upon hiring you’ll be eligible for a wide range of flexible benefits to help promote your wellbeing and that of your family.

• Health and wellness program, including many options
• Flexible group insurance
• Generous pension plan
• Employee Share Ownership Plan
• Employee and Family Assistance Program
• Preferential banking services
• Opportunities to get involved in community initiatives
• Telemedicine service
• Virtual sleep clinic