• Chief Compliance Officer (GMCI)

    Job Category
    Primary Job Location
    CA-ON-Richmond Hill
    Job Type
    Full Time
  • Job Description

    Title: Chief Compliance Officer
    Location: Richmond Hill – Head Office
    Division: Global Maxfin Capital Inc.
    Reports to: Chief Executive Officer


    Job Summary:


    The Chief Compliance Officer (“CCO”) of Global Maxfin Capital Inc (“GMCI”) - a full service IIROC dealer - will establish and maintain the policies and procedures required for compliance with securities regulation.  The CCO will monitor and assess the activities of GMCI and its entire staff.  Where appropriate, the CCO will report to the Ultimate Designated Person any instance of non-compliance. 


    Key Responsibilities:


    • Own the success and results of the GMCI compliance program;
    • Present an annual Compliance Report to the Board of Directors;
    • Act as the firm’s anti-money laundering officer, privacy officer and Designated Complaints Officer;
    • Chair the GMCI Risk Committee;
    • Act as the firm’s primary liaison with IIROC and other regulatory bodies;
    • Develop policies and procedures to meet new regulatory obligations;
    • Provide training to Investment Advisors and employees to help ensure adherence to regulation;
    • Ensure all registrants complete an annual canvass for information that includes outside business activities;
    • Review IIROC and CSA notices;
    • Ensure registration submissions are completed in a timely manner;
    • Ensure continuing education credits are tracked for each cycle;
    • Maintain and monitor Watch and Restricted Lists;
    • Review account applications;
    • Review trading including options trading;
    • Review correspondence, sales and marketing communications;
    • Attend industry meetings and conferences; and
    • Participate in committee or working groups with regulatory bodies and associations.





    • A minimum of 10 years of experience in a senior compliance capacity;
    • Excellent understanding of IIROC Dealer Member Rules and Universal Market Integrity Rules;
    • Must be eligible for immediate registration as CCO or have successfully completed both the Chief Compliance Officers Qualifying Examination and the Partners, Directors and Senior Officers Qualifying Examination within the last 2 years; and
    • Must be eligible for immediate registration as an options supervisor or have successfully completed the Options Supervisor Course within the last 2 years.


    Competencies and Attributes:


    • Ability to interpret rules and regulations;
    • Attention to detail and analysis;
    • Risk assessment capabilities
    • Superior interpersonal and communication skills;
    • Ability to supervise staff;
    • Aptitude for technological advancements as a way to improve efficiencies and effectiveness;
    • Knowledgeable on the current industry landscape and regulators


    Global values the diversity of our workplace and a working environment where everyone has the opportunity to realize his or her full potential.  We gladly provide accommodations to any candidate with a disability taking part in the selection process upon request.




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