Job Description
Position: Chief Compliance Officer
Location: Remote/Hybrid
About our client:
Our client is a leading firm dedicated to providing tailored wealth management solutions and pioneering the democratization of alternative investments. With over a decade of growth and excellence, we are committed to maintaining the highest standards of compliance and regulatory adherence.
Position Overview:
Our client is seeking a dynamic Chief Compliance Officer (CCO) to lead the compliance team. The CCO will be responsible for ensuring that all aspects of our business comply with regulatory requirements and internal policies. This role involves close collaboration with senior management to ensure that compliance strategies align with business objectives and to implement an innovative compliance system.
Key Responsibilities:
- Develop, implement, and maintain compliance policies and procedures.
- Monitor and interpret regulatory developments, ensuring the company’s compliance program is up-to-date.
- Oversee compliance audits and risk assessments.
- Advise senior management on compliance-related matters and provide regular reports on compliance activities.
- Coordinate with regulatory agencies and manage relationships with external auditors.
- Ensure effective communication of compliance policies and training programs to staff.
- Lead investigations into compliance issues and implement corrective actions as necessary.
- Lead the implementation of a new innovative compliance system.
Qualifications:
- Bachelor’s degree in Law, Finance, Business Administration, or a related field.
- Minimum of 3 years of experience in a compliance role within the financial services industry.
- Comprehensive knowledge of securities laws and regulations ideally.
- Strong analytical skills and attention to detail.
- Excellent leadership and communication skills.
- Proven ability to work collaboratively in a team environment.
- Bilingual (English and French)