Chief Compliance Officer

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.