Corporate Compliance Officer

Istuary is growing its compliance team by adding a new CCO position. The CCO is responsible for building a culture of compliance across the group of companies at Istuary Innovation Group. The CCO will be responsible for governing the affairs of the corporation taking a role in senior management and providing direction to senior management on meeting good governance practices and being in compliance with all local and international laws including being in full compliance with securities legislation. The CCO will manage compliance frameworks that are in line with Istuary strategies and ensuring compliance within each business units, internal and external teams, policies and procedures, interpret implications and potential compliance related issues for operations as well as with executive and senior management decision-making. In addition, this role will cover all compliance related activities related to securities legislation including Investment Compliance, Privacy rules, Risk Management, Corporate Governance and Anti-Money laundering & Anti-Terrorism Financing. Strategic Planning Collaborates with the Managing Partners and provides strategic support for defining and advancing corporate strategies. Provides strategic advice related to ethics, compliance structure and design and operational strategies so that all business units adopt action plans to meet compliance goals. Carefully construct an effective overall compliance structure by designing compliance procedures that integrate with strategic plans, are easy to understand. Ensure business units are aligned with strategic goals and compliance objectives by collaborating closely with all senior management. , Leadership The CCO will champion the design, implementation and delivery of an overall compliance and risk management program across the Istuary group of companies. Education and encourage all management to adopt new compliance initiatives and new policies and create ways to assess overall business unit compliance with regular reporting to the board on progress. Governance and Controls The CCO will protect the ?Istuary? brand, our clients, our investors, our shareholders by managing and minimizing Istuary?s exposure to risk by ensuring compliance with all laws and regulatory activities. The CCO will communicate and work with the firm?s systems of rules, practices and processes by which Istuary operates are efficient, practical and balanced between the many stakeholders. Clearly communicate the firm?s state of compliance and how it satisfy?s Corporate governance requirements. Main Tasks The Corporate Compliance Officer (CCO) will be responsible to oversee the design, development and implement the overall compliance program. The CCO will establish the Istuary Group?s Compliance Management program with a risk-based compliance framework and a strategy designed to meet the ongoing changes and innovations at the Istuary Group. The CCO will ensure there is adequate discussion of compliance and compliance Responsibilities with any advisory boards and senior management Direct day-to-day compliance operations of the key business units and companies including the establishment of a code of ethics, policies and procedures, work practices and setting compliance priorities. Monitor and enhance risk-based compliance process. Establish service standards and maintain critical incidence logs and records to show how compliance decisions/complaints were resolved. Be an internal compliance expert in developing new systems and policies and procedures required for changes in laws and securities legislation. Compile and issue reports detailing compliance issues, investigations and resulting conclusions. Communicate and train various business units with compliance procedures and ensure they understand their roles and how they behavior in the organization meets the company?s standards of conduct. Provide recommendations for improvements and strategic advice to senior staff on areas of risk. Qualifications Ability to be registered as a Chief Compliance Officer with provincial securities regulators; CFA or CPA designation Bachelors degree at minimum Minimum 5-10 years relevant work experience (investment dealer, portfolio manager or similar); Strong written and verbal communication skills; and Strong leadership and supervisory skills

Register/Login to Apply
Post A Job