Chief Compliance Officer And Chief Operations Officer

Thorek/Scott and Partners (TSP) has been connecting accomplished organizations with talented individuals for almost four decades. At TSP, our track record of successfully completing challenging searches across the professional spectrum has earned us an exceptional reputation at the forefront of the recruitment industry. Our Canadian and International clients include: global banks and non-bank financial institutions, private equity and investment funds, professional service firms, and entrepreneurial businesses in a variety of industries. We value the human connection and distinguish ourselves through an unwavering dedication to understanding the goals and motivations of our clients and candidates alike.

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Position Overview:

Our client is an established Canadian broker dealer with a significant global presence. Currently experiencing a period of substantive growth, they are seeking a CCO/COO to join their Canadian head office as a key member of their leadership team.

Reporting to the CEO, the CCO/COO will oversee all aspects of compliance within the firm while providing appropriate internal guidance, education, and advice to the management team. This role will include crafting and implementing appropriate compliance models and controls to ensure a robust, yet compliant-friendly, operating framework. The CCO/COO will work collaboratively with the CEO in setting and driving the firm’s vision as well as operational strategy and execution organization wide.

This is an attractive opportunity for an experienced compliance and operational leader with 10-15 years of progressive experience in an IIROC regulated entity to take on a building mandate in a global platform. The ideal candidate will be driven with an entrepreneurial spirit, possess strong leadership skills and take a hands-on approach in their everyday dealings within the organization.

Role Responsibilities:

• Implement business strategies and plans that align with the short-and long-term objectives developed in tandem with CEO
• Investigate and act on matters related to compliance and serve as the primary contact with regulators on compliance issues
• Identify enhancements to existing compliance and operational tools and identify and implement new systems and tools to support the firm’s compliance program and operational platform
• Prepare and present clear and concise compliance reports to senior management
• Build and maintain trusting relationships with key customers, clients, partners, and stakeholders
• Provide compliance guidance and support to firm leadership and project teams related to strategic initiatives
• Coordinate internal compliance review and monitoring activities, including periodic review of departments
• Lead the firm’s compliance function and take responsibility for establishing standards and implementing procedures to ensure that compliance programs throughout the organization are effective and efficient in identifying, preventing, detecting, and correcting noncompliance with applicable laws and regulations

Desired Qualifications:

• Understanding of advanced business planning and regulatory issues
• Competent with drafting, reviewing, implementing, and managing compliance policies and procedures
• A solid track record of successful experience interacting with regulators and responding to regulatory inquiries and audits
• Excellent leadership skills, with steadfast resolve and personal integrity
• Solid grasp of data analysis and performance metrics
• 10-15 years of dynamic experience in the securities industry with a thorough understanding of regulatory governance for broker/dealers as well as securities laws
• Demonstrate understanding of compliance systems and controls
• Orientation towards process improvement and the ability to think and work at both strategic and tactical levels as required
• Bachelor’s degree in business, finance, or other applicable discipline. Advanced degree or industry certification preferred
• Ability to communicate effectively, both verbally and written, to various audiences and establish working relationships with individuals and teams both inside and outside of the firm

Please note that at present, legal eligibility to work in Canada is a prerequisite for this role.

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We appreciate your interest in this role.

In sharing your resume, you place your trust in us to treat you with integrity and respect and act in your best interests. All resumes will be held in the strictest of confidence. Those who most closely meet our client’s requirements will be contacted for an interview.

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