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||Chief Financial/Compliance Officer
||Our client is an investment management company that acts as the Trustee, Manager and Investment Manager of several closed end investment funds that trade on the TSX. They are currently looking for a Chief Financial Officer/Chief Compliance Officer to assist with current operations.
The CFO/CCO, reporting to the CEO, manages a team of five (5), and is accountable for providing financial expertise, strategic direction, expertise on all operational matters and decision support to the CEO and the funds under management. The role is also accountable for the overall compliance and governance of the corporations and funds with securities legislation.
||Specific accountabilities include:
• Day-to-day management and accounting leadership and reporting for the corporations and funds.
• Development of Annual Strategic and Financial Plans.
• Maintaining books and records, system of controls over financial reporting and assets.
• Ensuring all accounting and bookkeeping activities are accurate and prepared in a timely fashion.
• Preparing and filing of the financial reporting for the regulated entities under management.
• Ensuring all tax filings are done on time and accurately.
• Providing overall strategy, leadership and direction for decision-making and approvals.
• Assess/review complex business transactions and provide timely accounting, compliance and business guidance.
• Ensuring that financial operations for the various corporations are integrated, in control, and in compliance with all regulatory and financial corporate governance requirements.
• Responsible for overall direction of firm's compliance program including advising officers and employees on regulatory requirements, the assessment and mitigation of compliance and reputational risks.
• Establishing and maintaining policies and procedures for assessing compliance by the firm.
• Timeliness and effectiveness in ensuring that relevant legal and regulatory requirements are reflected in written policies and procedures.
• Monitoring and assessing compliance by the firm with securities legislation.
||• Minimum requirement CFA Charter or professional designation as a lawyer, Chartered Accountant, Certified General Accountant or Certified Management Accountant with at least 8 years of finance experience; 5+ years of which in a finance leadership/management role.
• Minimum of 5 years' experience working in a compliance capacity at an investment dealer or registered adviser or worked for a Canadian financial institution in a compliance capacity relating to portfolio management.
• In-depth knowledge of financial, regulatory, compliance and legal requirements and issues in the investment industry gained through relevant industry and professional experience and education.
• Completion of the Partners, Directors and Officers (PDO) Exam and the Canadian Securities Course Exam.
• A relevant university degree.
• Excellent problem solving skills, and well-developed verbal and written communications skills.