Job Description

Job Title Chief Compliance Officer

Summary





Title: Chief Compliance Officer, Canada

Location: Toronto, Ontario, or Vancouver, British Columbia, Canada

Reports to: Chief Ethics & Compliance Officer, Americas (matrix to CEO Canada & Deputy General Counsel, Americas)

Summary

Promote a strong ethics and compliance culture by developing and deploying an effective Ethics & Compliance Program reporting directly to the Chief Ethics & Compliance Officer, which includes providing guidance regarding established corporate-wide Ethics & Compliance Program, creating policies and procedures to ensure adherence to applicable laws, regulations and other governmental requirements as appropriate; developing, implementing and managing additional program infrastructure, policies and practices as needed; providing training and advice and counsel on a range of topics including conflicts of interest, anti-corruption and gifts and entertainment and anti-money laundering; assisting in internal investigations; and ensuring that employee and third-party concerns are addressed in a prompt and thorough manner.

Compliance Responsibilities:

• Act as "Chief Compliance OfficeraEUR for the CompanyaEUR(TM)s newly established equity business and all other established business units within Canada.
• Establish policies, procedures and controls required to obtain an Exempt Market Dealer (EMD) license
• Drive the continued development, implementation and monitoring of ethics and compliance policies and procedures to ensure compliance with laws/regulations.
• Provide day-to-day proactive ethics and compliance legal advice; identify creative, compliant solutions to achieve business goals and strategies.
• Collaborate with Internal Audit, Human Resources and other stakeholders to resolve issues and mitigate risk.
• Collaborate with various stakeholders to strengthen the CompanyaEUR(TM)s international third-party vetting program.
• Develop and maintain appropriate records and metrics for the Ethics and Compliance Program.
• Develop and implement tools/programming/training/communications that promote a culture of ethics and compliance that ensures that employees speak up about concerns and have a strong understanding of the Ethics and Compliance Program; develop innovative approaches to training to encourage employee engagement.
• Develop and deliver training to educate employees on a broad range of ethics and compliance topics.
• Act as liaison with Internal Control for anti-corruption and compliance controls audits.
• Supervise the operation of the Ethics & Compliance Hotline and ensure that reports are appropriately assigned, investigated and resolved in compliance with internal procedures.
• Monitor legal developments, enforcement and compliance requirement trends and calibrate Ethics & Compliance Program accordingly.
• Conduct/support global risk assessments and propose and ensure appropriate responsibility for oversight in risk areas.

Legal Responsibilities:

• Act as legal interface with Provincial Real Estate Regulators and coordinate activities with external counsel as required

• Analyze, draft, negotiate, finalize and oversee the approval process for all commercial agreements and request for proposal responses.
• Consistently analyze and mitigate contractual risk in agreements, consulting contracts and other legal instruments, while increasing efficiency and consistency in contracting.
• Advise and counsel internal clients with respect to the legal policies and the legal implications of proposed transactions; maintain open communication and good working relationships with both internal clients and clients of the Company.

Qualifications:

• Must have a J.D. and a minimum of 10 years of experience in ethics and compliance or securities related function. Justice Department, law firm or corporate compliance role preferred prior experience.
• Must have strong experience with Anti-Money Laundering (AML), Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) including program design, training, and/or audit.
• Experience working with the Ontario Securities Commission, and the various provincial financial services regulator (at minimum FSRA and BCFSA) is preferred.
• Member in good standing with the Canadian Bar Association.
• In-depth knowledge and understanding of applicable ethics and compliance requirements, compliance risk-management practices and methodologies, including risk assessment, monitoring and testing activities.
• Significant knowledge and experience in implementing training and communications processes and programs; strong project management skills.
• Experience in conducting investigations and managing the investigations process, including the management and tracking of the investigation lifecycle and close-out process.
• Strong ability to think strategically to resolve matters effectively and efficiently and to build collaborative relationships with senior management, business leaders and HR, while managing shifting priorities.
• Excellent legal and business judgment; a high degree of discretion; strong analytical skills; excellent verbal and written communication skills; and strong presentation skills.

Cushman & Wakefield is committed to equity in employment and our goal is to have a diverse, inclusive, and barrier-free workplace. If you are a person with a disability and need the job posting in an alternative format or any other accessible accommodations during the hiring process, please email your request to canadarecruitment@cushwake.com. Please refer to the job title and job location when you contact us.Cushman & Wakefield saEUR(TM)engage a respecter laEUR(TM)equite en matiare daEUR(TM)emploi. Notre objectif est daEUR(TM)offrir un milieu de travail diversifie, inclusif et exempt daEUR(TM)obstacles. Si vous ates une personne handicapee et que vous avez besoin de recevoir laEUR(TM)offre daEUR(TM)emploi dans un autre format ou daEUR(TM)acceder a toute autre mesure daEUR(TM)adaptation au cours du processus daEUR(TM)embauche, veuillez soumettre votre demande par courriel a canadarecruitment@cushwake.com. Veuillez mentionner le titre de poste et le lieu de travail au moment de communiquer avec nous.