Chief Compliance Officer - Gravitas Securities Inc

Purpose:

The Chief Compliance Officer, reporting to the Chief Executive Officer (CEO) and Board of Directors, is responsible for the structure and monitoring the firm’s ongoing compliance program. The incumbent’s primary duties would be overseeing all compliance and risk supervision for all areas of Gravitas Securities Inc. (GSI) including retail advising, investment banking, and registrations in accordance with SRO and internal policies and procedures. Any issues of non-compliance would be escalated by the Chief Compliance Officer to the CEO and the Board of Directors.

Key Accountabilities:

Supervision of all Compliance staff;
Oversee the compliance function for GSI;
Direct formulation of compliance policy & procedures;
Handling special projects as required by the Executive;
Create reports to the Board of Directors on at least a minimum annual basis;
Participate in committees both internally and externally as required;
Ensure that all appropriate registers, books and records are maintained in good standing and in accordance with legal and regulatory requirements;
Primary contact with IIROC and other regulatory bodies;
Responsible for ensuring staff is current on all issues and ongoing implementation of regulatory requirements;
Effectively coach and guide staff in areas of professional development;
Identify product knowledge gaps and training needs relating to all facets of businesses;
Complete performance assessments of all direct report staff

Knowledge and Skills:

In-depth understanding of the securities industry including IIROC Rules, AML rules and requirements, Privacy regulations, and other relevant industry rules;
Knowledge and understanding of financial advisory services, policies, procedures;
Significant industry experience in a senior compliance role, including a minimum of 5 to 7 years in a Compliance function at an IIROC regulated Dealer and a minimum 10 years’ industry experience;
The incumbent will need to be qualified to be licensed as the CCO;
Ability to build and maintain strong relationships and effective partnerships with internal and external stakeholder;
Exceptional communication skills, both verbal and written;
Capable of simultaneously handling multiple tasks and meeting stringent deadlines

Education:

Undergraduate Degree Desired;
Canadian Securities Course;
Conduct and Practices Handbook Course;
Chief Compliance Officers Qualifying Examination;
Branch Managers Course;
Options Supervisors Course;
Partners, Director and Senior Officers Course.

This is a full-time position with a competitive compensation and benefits package.

If you would like to join our team, please send a resume and covering letter to:

Gravitas Securities Inc. 333 Bay St. Suite 1720 Toronto ON M5H 2R2

E-mail: [email protected]

We require applicants to complete a background verification process prior to commencing employment with the company, including but not limited to a credit and criminal record check. Employment is contingent on the satisfactory completion of a pre-employment background check.