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Director of Compliance

Toronto, ON M5G2N7

Type: FE-Financial Services Job Number: 15108

Director of Compliance

   High Profile Investment Company, Great Corporate culture, Excellent Benefits Package,   Bonus, Gym Membership!

In this exciting role, you will support the CCO and VP Risk Oversight to ensure that our client meets all of their regulatory and compliance requirements in trading, clearing and custody.  Your expertise experience in this area will enable you to lead team members to identify and resolve complex issues. 

You will be responsible to respond to complicated regulatory inquiries and analyze internal processes and provide direction to business leaders to enable them to implement process improvements and identify where business units might ne impacted. 

  • Leads implementation efforts of new/existing regulatory policies and takes into consideration business unit level and legal entity level.
  • Inputs into new business unit procedures and implementation of procedures, system enhancements and controls.
  • Responsible for ensuring all firm' s policies and procedures meet all IIROC and other regulatory requirements. Identifies new regulatory and legislative initiatives that will impact the business and provides comments where necessary to impact rule making process.
  • Participates in key industry committees to provide direction on new regulations
  • Leads resolution of complex remediation of audit and regulatory issues brings them to closure and communicates outcomes to senior business leaders.
  • Communicates the resolution of issues to regulators.
  • Recommends a course of action.
  • Approves and releases the response to complex inquiries Writes and finalizes regulatory filings, reports and responses to regulators on complex inquiries.
  • Prioritizes areas where internal and business unit reporting is needed.
  • Drafts and reviews board reports.
  • Supervises preparation of reports by team.
  • Creates and maintains a governance structure to report compliance matters to boards, oversight committees and senior management.
  • Provides input into the business planning process for function by leveraging deep understanding of the business and proactively identifying initiatives that will optimize execution of business strategy.
  • Participates in business plan execution by taking ownership of assigned key functional initiatives as well as participating and advancing strategic company initiatives.
  • Role of project lead/member as it relates to projects and initiatives that are compliance related such as FATCA, QI, CRM.
  • Conveys an appropriate sense of urgency; drives issues to closure and sets deadlines to accelerate decisions and actions.
  • Responsible for expense management Acts in accordance with the understanding that your management role has an objective of developing and encouraging others to succeed by doing the right tasks at the right time – every day – to become the best they can possibly be.
  • Develops an employee base capable of meeting our client’ s current and future talent needs. Evaluates performance and provides continual constructive feedback, coaching and guidance to strengthen team and individual effectiveness; provides challenging assignments to develop employees.
  • Addresses performance issues, conflicts in a timely and direct manner.
  • Translates strategies into clear goals, plans and metrics for team and individuals.
  • Ensure that people understand how their work connects to their organization’ s goals; keeps people focused on priority goals and metrics.
  • Challenges people to set and achieve ambitious goals and holds them accountable
  • Develops strong client relationships where influencers serve as advocates for our client within their firm.
  • Be a role model for our employees for delivering stellar quality customer service interactions to our internal and external customers to exceed their expectations and create a positive experience.
  • Deliver seamless customer service through teamwork and collaboration. Continually searches for ways to improve customer service, including the removal of barriers and providing solutions.
  • Ensure  follow-up with customers to certify that the resolution of problems maintains customer satisfaction and loyalty.
  • Addresses customer needs by involving the right people (resources) at the right time.
  • Actively interacts with external and/or internal customers to identify and anticipate requirements, expectations and needs
  • Improve and/or eliminate ineffective processes to improve customer service or gain efficiencies

  • A minimum of 3 years’ people management experience.
  • University Degree.
  • CCO course is an asset.
  • Branch Manager course is an asset.
  • Trader training course is an asset.
  • Options Supervisor course is an asset.
  • Futures Supervisor course is an asset.
  • More than 7 years in a compliance leadership role within the financial  services  industry, preferably in securities, wealth management or brokerage business.

Please forward your resume to: Shelley Hogan at:


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