Chief Compliance Officer, Canada - Jobs in Toronto, ON

Job Description

The RoleThe Chief Compliance Officer, Canada will be a key member of the Canadian business, with responsibility for all Canadian compliance & regulatory matters for Aviva Investors Canada & the other operating companies within the Aviva Investors Group. This position will report to the Chief Compliance Officer for the Americas.ResponsibilitiesThis position requires an business-focussed compliance professional with strong regulatory experience & analytical skills who can:

• Evaluate business objectives, regulatory developments and propose customised compliance solutions within the firm’s risk tolerance and regulatory requirements;
• Promote a culture of compliance and fiduciary responsibility within the firm
• Identify potential areas of potential conduct & regulatory risk, and lead projects related to the enhancement of the compliance program and strategic initiatives;
• Keep abreast of and anticipate changes in regulatory regimes and implement appropriate changes to compliance practices and policies;
• Be able to advise local Canadian management & Compliance colleagues on regulatory matters
• Manage & implement the local compliance monitoring & surveillance plan in collaboration with the London- based monitoring team;
• Work with the Global CCO to ensure timely implementation of Global Compliance Policies

Key accountabilities in the job

• Development, supervision and enforcement of policies and procedures to ensure compliance under securities laws and regulatory requirements.
• Follow regulatory developments in the industry and conduct an annual (or more frequently, as required) review and revision of all policies and procedures to ensure that they remain current. Advise employees of applicable changes in regulation & reporting emerging regulatory developments to Global CCO & relevant governance forums.
• Ensure client pre-contractual & other disclosure documentation is compliant with local regulatory requirements.
• Review suitability assessments of direct client investments; and in conjunction with direct client annual reviews.
• NRD Registration and licensing of employees with regulators as required under applicable securities requirements.
• Reporting changes and terminations to registration through NRD system.
• Review and approve marketing materials including presentations, website, publications and other marketing collateral. for compliance with continuous disclosure rules, local regulations & Aviva Investors Global standards.
• Review all advertising, business cards and collaterals to be used by employees for regulatory compliance.
• Review and approve outside business activities (“OBAs”) and/or conflicts of interest (including disclosure to direct clients where applicable).
• Oversight and supervision of registered employees and act as Authorised Firm Representative for the National Registration Database.
• Oversight of all corporate compliance supervision, trade supervision and evidence of supervision reporting.
• Act as the designated Anti-Money Laundering Officer responsible for compliance and training required under anti-money laundering legislation, monthly reporting to regulators, record keeping and reporting of reportable transactions to FINTRAC.
• Payment of regulator and registration fees including annual capital market participation and NRD Individual Registration fees.
• Act as liaison and main contact point with regulators and regulatory bodies.
• Make & maintain all Regulatory filings as required for registration categories including Offering Memorandum, Annual Information Form (“AIF”), Fund Facts and additional PM and IFM filings.

What You’ll Bring

• An undergraduate degree is required.
• Experience working as a Chief Compliance Officer, or a senior position in a compliance department.
• Understanding of asset management operations an advantage.
• Must have the qualifications, or willingness to complete the qualifications, to meet the OSC requirements for CCO registration
• Maintain & implement the Compliance monitoring plan for AIC, conduct appropriate reviews in accordance with the agreed plan and risk-based approach.
• Understanding of fixed income, alternatives, derivatives, commodities and equity strategies offered in a variety of investment products including (i.e. open-end mutual funds, ETFs, alternative mutual funds and non-prospectus mutual funds)
• Experience in portfolio management trading oversight, licensing and registration matters and marketing compliance review coordination
• A series of progressive roles in compliance and a proven track record of success

What you’ll get

• Competitive rewards package including base compensation, eligibility for annual bonus, retirement savings, share plan, health benefits, personal wellness, and volunteer opportunities.
• Exceptional Career Development opportunities.
• We’ll support your professional development education.

Additional InformationAviva Canada has an accommodation process in place to provide accommodations for employees with disabilities. If upon commencement of employment you require a specific accommodation because of a disability, please contact your Talent Acquisition Partner so that an appropriate accommodation can be arranged. This process applies throughout your career with Aviva Canada.Quick Apply

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