Compliance Officer

POSITION : CHIEF COMPLIANCE OFFICER

LOCATED : HEAD OFFICE

Seeking position of a Compliance Officer who will be responsible for ensuring the operation of TWMG Inc. meets and exceeds the standards, policies and procedures established by the shareholders, Board of Directors, and Management Team in all matters relating to compliance. The Chief Compliance Officer will manage the compliance department and lead the Branch Manage in the development and implementation of measures designed to make TWMG Inc. a leader in the industry.

RESPONSIBILITIES

• Provide timely and on-going information regarding compliance policies and practices to Department and Branch Managers to assist them in carrying out their mandates and the continuous improvement of the organization;
• Conduct audits regularly to ensure representatives are meeting standards, prepare a report for Branch Managers;
• Take responsibility for ensuring the organization is compliant at all times;
• Develop and present training programs, in conjunction with the back-office Team;
• Develop and update the organization’s compliance manual – hold regular compliance meetings with the back-office and develop and distribute compliance related material to representatives and staff;
• Interact with all regulators to ensure TWMG Inc. meets the standards in each province and to voice concerns on behalf of TWMG Inc. ;
• Create written and technological sources of communication/information;
• Ensure the flow of compliance related information throughout the organization, specifically to the Board of Directors and Head Office staff;
• Report to the CEO weekly on all activities.

CORE COMPETENCIES

The Chief Compliance Officer must possess the following skills, knowledge, and abilities:

• A broad and in-depth involvement in and knowledge of financial services industry matters;
• Ability to work in a team environment;
• Sound, collaborative decision-making capability;
• Effective managerial skill;
• Effective problem-solving skill;
• Ability to communicate effectively at all levels within and outside the organization;
• Sound analytical skills;
• Ability to thoroughly research and report on TWMG Inc. activities.

EDUCATION AND EXPERIENCE

• Appropriate professional designation. (Mutual Funds Course, Branch Manager Course, ODP or compliance course)
• Minimum two (2) years of experience.
• Partners, Directors & Senior Officers (CSI or IFIC) Course.

Job Type: Full-time

Salary: From $50,000.00 per year

Schedule:

• 8 hour shift
• Monday to Friday

Work Location: In person