Director Compliance

Permanent Full Time 

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We are looking for a Director, Compliance to join the compliance team within the Investment Management, Individual Wealth division.
The Director, Compliance is responsible for driving and maintaining compliance processes and deliverables for the Investment Fund Manager, Canada Life Investment Management Ltd. (CLIML), a subsidiary of Canada Life. CLIML is registered as an investment fund manager, portfolio manager and commodity trading manager. Its primary regulator is the Ontario Securities Commission. CLIML is the manager of the Canada Life Mutual Funds and the Counsel Portfolios. The Director, Compliance will report to CLIML’s Chief Compliance Officer.
 

Initially, activities will fit within three broad areas:
·  Sales Practices (NI 81-105) Compliance Program Management

·  Marketing Compliance Oversight

·  Privacy, Risk and Controls Oversight

What you will do:

• Lead and maintain the Sales Practices Compliance Program, ensuring alignment with firm and regulatory guidelines. Identify opportunities to enhance program effectiveness and lead training initiatives for wholesale teams.

• Design and manage a compliance oversight program for marketing content. Collaborate with marketing and product support teams to implement documented controls, track progress, and maintain an efficient review and approval process that includes regular reporting to the CCO.

• Oversee privacy, risk and control functions, providing strategic direction and guidance to the team.  Deliver regular reporting to senior leadership and the CCO.

• Communicate with regulatory bodies and assist with internal and external reviews.

• Support the CCO with Board and Independent Review Committee (IRC) reporting, as required.

• Influence other business leaders to ensure the organization, business practices, materials and activities comply with regulatory requirements across jurisdictions. Regular reporting of business initiatives and risks to Compliance business partners.

• Stay current with regulatory developments and upcoming changes to ensure internal policies and procedures remain up to date.

• Lead and coach a team of two direct reports, providing mentorship, feedback and developmental support to help them grow in their roles and reach their professional goals.

What you will bring:

• 5+ years of compliance related experience, preferably with an entity registered with a securities regulator.

• University degree in a related field.

• CPA or CFA designation is an asset.

• Comprehensive knowledge of the following National Instrument (NI) securities regulations: NI 31-103, NI 81-101, NI 81-102, NI 81-105, and NI 81-106. This includes a high degree of familiarity with investment fund rules and prospectus documents.

• Proven leadership and decision-making skills in a highly regulated environment.

• Knowledge of, and experience with, activities of an Independent Review Committee and the related requirements (NI 81-107) is preferred.

• Strong project management skills.

• Ability to understand and successfully navigate a matrixed organization.

• Proven ability to build and maintain strong internal and external relationships at all levels.

• Experience managing and developing high-performing teams, including the ability to coach, mentor, and support the growth of team members in a fast-paced regulated environment.

• Capable of prioritizing competing tasks to ensure timely delivery of projects.

• Results driven with strong analytical and problem-solving capabilities.

• Strong proficiency with the MS Office suite.

Given the size and scope of our organization, we have the flexibility for this position to be located in the following head office locations: Toronto, London, Winnipeg.

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The base salary for this position is between  $102,300 - $187,700 annually.  This represents base salary only and does not represent other variable compensation components of our total compensation ( i.e. annual bonus, commission etc).  If you are selected to move forward in our recruitment process, your recruiter will be able to discuss additional details of our total rewards program with you.

Career opportunities will be open a minimum of 5 business days from the date of posting, closing dates will vary depending on the search activity. All applications received will be reviewed on a rolling basis.

Be your best at Canada Life- Apply today!

Being a part of Canada Life means you have a voice. This is a place where your unique background, perspectives and talents are valued, and shape our future success.

You can be your best here. You’re part of a diverse and inclusive workplace where your career and well-being are championed. You’ll have the opportunity to excel in your way, finding new and better ways to deliver exceptional customer and advisor experiences.

Together, as part of a great team, you’ll deliver on our shared purpose to improve the well-being of Canadians. It’s our driving force. Become part of a strong and successful company that’s trusted by millions of Canadians to do the right thing.

Canada Life serves the financial security needs of more than 13 million people across Canada, with additional operations in Europe and the United States. As members of the Power Financial Corporation group of companies, we’re one of Canada’s leading insurers with interests in life insurance, health insurance, investment and retirement savings. We offer a broad portfolio of financial and benefit plan solutions for individuals, families, businesses and organizations. 

We are committed to providing an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of the communities in which we live, and to creating an environment where every employee has the opportunity to reach their potential. 

It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Canada Life policies. To request a reasonable accommodation in the application process, contact talentacquisitioncanada@canadalife.com.

Canada Life would like to thank all applicants, however only those who qualify for an interview will be contacted.

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