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David Aplin Group, one of Canada's Best Managed Companies, has partnered with our client to assist them in recruiting a Chief Compliance Officer based in Saskatoon.
The Role:
Oversee the compliance and supervision functions for the firm
Lead all compliance audits and provide complete and timely responses to audit requests
Supervise all compliance support staff involved in compliance activities
Manage the evaluation process, auditor expectations and relationships
Work with auditors to come to resolution on any points of issue
Engage legal counsel as required to ensure points of issue are not only understood by all parties, but are resolved in the best interest of the firm
Develop and direct the formulation and maintenance of compliance policies and procedures including related internal controls, training, independent testing and recordkeeping
Responsible for creating and maintaining the compliance and supervision schedule for the firm
Work with key personnel to ensure that the firm is prepared at all times to show its compliance with various regulatory / insurance / legal/ banking requirements
Ensure file compliance by developing and maintaining standard operating procedures/checklists, and document/template inventory for all operational processes
Confirm that standard operating procedures are utilized and followed and that any deviations are known and approved
Monitor and escalate all exceptions and violations
The Ideal Candidate:
Undergraduate degree in accounting or finance complimented by significant legal/regulatory experience
In-depth understanding of finance, accounting and/or tax and other relevant industry rules
Strong working knowledge of financial services, insurance policies & procedures
Significant experience in a senior compliance role
Ability to build and maintain strong relationships and effective partnerships with internal and external stakeholders