A growing, globally focused wealth management and multi-family office is seeking a Chief Compliance Officer (CCO) to lead its compliance and regulatory function.
Requirements
- Lead regulatory filings, audits, examinations, and communications with securities regulators.
- Report material compliance matters to the Ultimate Designated Person (UDP) and prepare periodic and annual compliance reports.
- Oversee the supervision framework for registered individuals, including training, monitoring, issue escalation, and remediation.
- Design, implement, and continuously enhance the firm's compliance framework, including policies, procedures, controls, and monitoring programs.
- Ensure compliance with applicable securities legislation, including conflicts of interest, AML, KYP and suitability, privacy, client disclosure, recordkeeping, outsourcing oversight, and complaint handling.
- Monitor regulatory developments and assess their impact on the firm's business, policies, and controls, implementing changes as required.
- Maintain direct access to senior management and the board on compliance matters, with authority to escalate significant issues.
- Ensure compliance documentation and records are complete, current, and audit-ready.
- Conduct compliance monitoring, testing, and risk assessments to proactively identify and mitigate risks.
- Promote a strong culture of compliance through ongoing training, guidance, and support across the organization.