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Career Category: Compliance, Securities
Posted Date: 2006-02-15
Location: London, ON
Our client, a rapidly growing financial investment company with a national focus and with regional offices across Canada, is recruiting for a lawyer to fill the role of Director, Securities Compliance. Reporting to the National Director, Compliance and working alongside the Director, Mutual Fund Compliance, you will assume the responsibility of overseeing the entire compliance program for securities at the National level. In this exciting opportunity you will develop, plan, and execute policies and compliance initiatives and solutions, across multiple sites, to ensure daily operations are consistent with the various rules, regulations, and securities laws and are in line with the vision and objectives of the Company.
This role involves:

*developing and maintaining procedures for Compliance operations across multiple sites
*analyzing current procedures for differentials in an effort to coalesce and amalgamate them
*assessing risk and making improvements to the process while also minimizing risk
*working closely with department managers to assure that goals and deliverables are uniform and consistent
*coordinating and responding to regulatory examinations
*supervising 5 direct reports who will oversee the day to day compliance work.


You are the ideal candidate if you:

have minimum 3 years securities experience
are well-versed and knowledgeable of IDA rules and securities regulations
have the ability to effectively interact and influence senior members and engender compliance at all staff levels
have the ability to develop strategic goals for the company in collaboration with multiple levels of associates up to and including senior management
have strong supervisory skills, excellent interpersonal and communication skills,

If this describes you, we want to hear from you!



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