Director - Compliance

Mississauga, ON
Permanent
Full-time

6 days ago

RecruiterKristy GilmoreOpportunity Overviewhe Director, Compliance is responsible for overseeing compliance functions and initiatives to ensure the organization adheres to regulatory requirements, internal policies, and ethical standards. This role encompasses strategic leadership, risk management, and collaboration with senior leadership to maintain a culture of compliance across the organization. This Leadership role is a registered supervisor with the Canadian Investment Regulatory Organization (CIRO) with overall responsibility for the Supervision (Tiers 1 & 2) and Compliance programs supporting those activities, focusing on the client's best interest and ensuring compliance with industry rules and regulations.The Director, Compliance is a key decision maker pertaining to Compliance and Supervision policy, strategy, structure, and talent. They are responsible for aligning respective teams' activities and responsibilities with the division's and firm's strategic direction. The role plays a pivotal part in establishing a culture of compliance, mitigating risks, and ensuring alignment with both internal policies and external regulatory expectations. Additionally, they provide oversight, advice, and guidance to ensure execution of Compliance- and Supervision- related activities in alignment with firm and regulatory standards to ensure resources are being used wisely. Working directly with the Chief Compliance Officer, the Director, Compliance provides leadership to collaborate and develop innovative ideas to improve Compliance and Supervision systems and processes as well as overall effectiveness and efficiency.Primary responsibilities of the Director, Compliance include:

Defining the strategic plan for all areas of responsibility, providing leadership and direction with regards to:

The development of new Compliance and Supervision programs and the revision of existing programs to meet business and regulatory requirements necessary to support the firm's business model, growth plans, and the evolving industry.
The planning and development of changes related to processes within the division.
Representing the division and participating in planning, design and implementation of firm-wide projects so regulatory, firm policies and standards are followed. Helping to ensure that new product and service implementations have associated key controls in place in order to supervise them and maintain compliance with regulations.
Having overall responsibility for the strategic oversight and execution of the Compliance and/or Supervision program as assigned, which may include one or more of the following areas:

Registrations and Licensing
Branch Audit
Trade Desk Compliance
Marketing Compliance
Conflicts of Interest
Marketing Compliance
Field Supervision and Surveillance
General Compliance support

Being responsible for the leadership and development of leaders, associates and teams
Acting as a key participant on firm, division, and industry committees.

Position TypeHome Office - CanadaPosition ScheduleFull-TimeCompany DescriptionJoin a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 financial advisors across the U.S. and Canada, we're proud to be privately-owned, placing the focus on our clients rather than shareholder returns.Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.View our .¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.External Flexible Work Option(s)HybridAwards and AccoladesAt Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.Check out our U.S. awards and accolades:Check out our Canadian awards and accolades:Position RequirementsQualifications Required in the Job:

Undergraduate university degree required.
Canadian Securities Course and Conduct and Practices Handbook Exam are mandatory and must be current at time of hire.
Partners, Directors, and Senior Officers exam must be completed within three months of hire.
10 or more years of relevant Compliance and/or regulatory experience with a minimum of five years leadership experience required.
Industry experience including demonstrated knowledge of regulatory obligations and expectations.

Key Behaviors and Competencies:

Ability to interpret and apply Canadian securities laws and CIRO regulations to the firm's operations; Capacity to ensure that the firm remains compliant with all relevant regulatory requirements and guidelines.
Ability to identify, assess, and mitigate compliance risks;Skilled in developing and implementing risk management strategies.
Proven ability to lead and manage a compliance team; Capacity to mentor and develop team members, fostering a culture of compliance within the organization.
Ability to analyze complex regulatory information and business processes to identify compliance issues and recommend solutions. Capacity to conduct thorough investigations and audits.
Demonstrated commitment to continuous learning and development (of self and others).
Demonstrated ability to drive execution end-to-end, from development to implementation.
Leads others with empathy and human-centeredness, while welcoming diversity of thought and experience and fostering a collaborative, supportive and inclusive environment.
Ability, willingness, and confidence to make effective decisions independently.
Strong organizational and project management skills including the ability to handle multiple priorities and projects at one time.
Ability to anticipate and adapt to changing regulatory and business environments.
Ability to quickly develop expertise in high risk areas involving multiple functions and departments
Ability to speak and write in clear concise terms regarding complex issues and technical documentation, including challenging conversations at all levels within the firm and with external regulators or vendors.
Very strong analytical and critical thinking skills are essential. The ability to thoroughly analyze a situation, determine the facts, recognize possibilities and create unique and innovative solutions is also required.
Navigate firm initiatives through an increasingly complex and growing organization.

Salary InformationAt Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate.

Edward Jones

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