We are a mutual fund dealer registered with the MFDA.

Chief Compliance Officer is an integral part of the senior management team. If you are passionate for leading the compliance frameworks, apply here!

Key Responsibilities:

• establish and maintain policies and procedures for assessing compliance

by the Member and its Approved Persons with the By-laws, Rules and
Policies and with applicable securities legislation;

• monitor and assess compliance by the Member and its Approved Persons

with the By-laws, Rules and Policies and with applicable securities
legislation;

• report to the ultimate designated person of the Member as soon as possible if the chief compliance officer becomes aware of any circumstances indicating that the Member, or any of its Approved Persons may be in non-compliance with the By-laws, Rules and Policies and with applicable securities legislation and any of the following apply:

(A) the non-compliance reasonably creates a risk of harm to a client;
(B) the non-compliance reasonably creates a risk of harm to the capital
markets;
(C) the non-compliance is part of a pattern of non-compliance; and

• submit a report to the board of directors or partners, as frequently as

necessary and not less than annually, for the purpose of assessing
compliance by the Member and its Approved Persons with the By-laws,
Rules and Policies and with applicable securities legislation.

• The compliance officer shall be responsible for monitoring adherence by the Member and any person conducting business on account of the Member to the By-laws, Rules and Policies, including, without limitation, standards of business conduct under Rule 2 and applicable securities legislation requirements. The compliance officer or the individual to whom the compliance officer reports is required to report on the status of compliance at the Member to the board of directors or partners of the Member as necessary, and at least on an annual basis. It shall be the responsibility of the board of directors or partners of the Member to

act on the annual report and to rectify any compliance deficiencies noted in the report.

Experience:

• 10 years of experience in the compliance, regulatory and audit function.
• Strong knowledge of the mutual fund industry, current regulatory rules, policies and procedures and industry guidelines as they relate to branch audits and best practices.
• Excellent oral and written communication skills.
• Excellent organizational and time management skills and the ability to work independently to meet deadlines in a fast-paced environment with changing priorities.
• Bilingual in English and Chinese would be a definite asset.

Job Type: Full-time

Schedule:

• 8 hour shift

COVID-19 considerations:
All employees are required to wear a mask, common surfaces are sanitized regularly, full vaccination required.

Ability to commute/relocate:

• Markham, ON: reliably commute or plan to relocate before starting work (required)

Experience:

• Mutual Fund Representative: 5 years (required)
• Compliance Officer with MFDA or IIROC: 2 years (required)

Licence/Certification:

• PDO Certificate (required)

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