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Chief Compliance Officer - FILLED

Staff Systems is currently recruiting for a Chief Compliance Officer for a Vancouver based brokerage firm. The Chief Compliance Officer is an executive position requiring specific industry skills and training. The CCO works closely with the President and sales personnel to direct the daily, monthly, and annual compliance functions required to satisfy regulatory requirements and to ensure there is a robust compliance program within the company. This position reports directly to the President.

Functions to be performed include (but are not limited to) the following:

• Daily client credit monitoring and liaison with sales personnel with regard to credit issues
  
• Design and direction of daily, weekly and monthly trade review procedures
  
• Performance of monthly client account statement reviews
  
• Review of new client account applications
  
• Ensuring a system to ensure appropriate client documentation is on file, and the trading is in compliance with client investment objectives
  
• Approving acceptance of physical certificates and ensuring appropriate procedures as required by the company's business conduct manual and the requirements of its carrying broker are carried out
  
• Review and cause to be updated the business conduct and procedures manuals required and appropriate and ensure distribution to all personnel as required
  
• Deal with client complaints
  
• Act as the Chief Privacy Officer
  
• Review and approve all IA correspondence and marketing materials
  
• Maintain continuing education records and ensuring IA compliance with all requirements
  
• Review employee trading records for accounts with other firms
  
• Obtain familiarity with the HRD registration processes and ensure appropriate updates are maintained in a timely manner on behalf of the firm
  

Skills and proficiencies required:

• Extensive brokerage firm experience including good working knowledge of brokerage systems such as ISM and Dataphile
  
• Successful completion of the proficiency exams required of a CCO including the Partners, Directors, and Officers exam and the Chief Compliance Officer exam. Further proficiencies such as Branch Managers Credentials or other industry specific supervision courses are a definite asset
  
• Good working knowledge and experience in dealing with physical certificates, particular US OTC BB stock, as well as other types of securities
  
• Proficiency with basic Microsoft Office suite of products including at minimum Word, Excel, and Outlook
  
  

  This position requires office hours of 6am to 2pm, Monday to Friday. Salary range is negotiable, depending on the level of experience and credentials.
  
  For consideration, please email your resume to careers@staffsystems.ca.