Recruiting in Motion is a successful and dynamic professional employment agency that has become deeply integrated into Metro Vancouver’s business sector as the go-to agency for the recruitment and placement of outstanding employees. BC-owned and operated, we ensure all our candidates — temporary, contract, permanent or executive — are provided with exciting and impressive employment opportunities. In fact, we are ranked as one of Growth 500 Canada's fastest-growing companies, and we represent BC's TOP Employers!
About our client
Our client is a well-established and highly respected private investment and mortgage lending organization with a strong presence across British Columbia, Alberta, and Ontario. Managing a substantial investment portfolio and operating in a collaborative, entrepreneurial environment, the organization has built a reputation for integrity, regulatory excellence, and long-term growth.
They are seeking an experienced Chief Compliance Officer (CCO) to lead the firm's legal, regulatory, and compliance functions. This is a unique opportunity to join a close-knit executive team and play a strategic role in shaping the organization's compliance framework while working across multiple jurisdictions.
Location: Downtown Vancouver, BC (Candidates based in British Columbia or Ontario will be considered)
Job Type: Full-Time | Permanent
Salary: $180,000 - $250,000 annually (negotiable based on experience and qualifications)
Responsibilities
As the Chief Compliance Officer, you will be responsible for overseeing the organization's compliance, regulatory, governance, and legal operations while acting as the primary liaison with regulatory bodies.
Compliance & Regulatory Leadership:
- Serve as the designated Chief Compliance Officer for the organization.
- Develop, implement, and maintain the firm's compliance policies, procedures, and internal controls.
- Ensure ongoing compliance with applicable securities, mortgage, and financial services regulations across multiple provinces.
- Monitor regulatory changes and implement required policy and operational updates.
- Lead internal compliance reviews and coordinate regulatory audits and examinations.
Regulatory & Stakeholder Management
- Act as the primary point of contact with provincial securities commissions and mortgage regulators.
- Build and maintain strong relationships with regulatory bodies and external compliance advisors.
- Coordinate regulatory filings, reporting requirements, and licensing obligations.
- Manage compliance audits conducted by regulators and external consultants.
Operational Compliance
- Establish and continuously improve operational procedures and compliance controls.
- Oversee Know Your Client (KYC), Know Your Product (KYP), suitability reviews, and investor onboarding processes.
- Monitor capital adequacy, working capital calculations, and regulatory reporting obligations.
- Ensure compliance with Anti-Money Laundering (AML), FINTRAC, and related regulatory requirements.
Corporate Governance & Risk Management
- Provide compliance guidance to executive leadership.
- Review and approve marketing materials, investor communications, and public disclosures.
- Identify compliance risks and recommend practical solutions to mitigate operational and regulatory exposure.
- Manage complaint handling, conflict-of-interest reporting, and compliance investigations.
Financial & Corporate Oversight
- Coordinate external audits and financial reporting processes with accounting firms.
- Support treasury operations, banking relationships, insurance renewals, and corporate governance initiatives.
- Oversee regulatory compliance related to accounting operations, financial reporting, and corporate record management.
Technology & Process Improvement
- Support technology initiatives and compliance automation projects.
- Oversee compliance aspects of business systems, cybersecurity awareness, and business continuity planning.
- Identify opportunities to improve operational efficiency through technology and process enhancements.
Qualifications
Required
- Registered and fully qualified to serve as a Chief Compliance Officer (CCO) under applicable Canadian securities regulations.
- Minimum 5–8 years of experience in a Chief Compliance Officer or senior compliance leadership role within financial services.
- Strong knowledge of Canadian securities regulations, exempt market dealer requirements, AML/FINTRAC compliance, and mortgage lending regulations.
- Demonstrated experience establishing, implementing, and monitoring operational policies and compliance procedures.
- Proven ability to work directly with provincial regulators and regulatory agencies.
- Experience conducting compliance audits, regulatory reporting, and policy development.
- Excellent leadership, communication, and stakeholder management skills.
- Strong analytical, organizational, and problem-solving abilities.
Preferred
- Experience within mortgage lending, private lending, investment management, banking, real estate finance, insurance, or financial services.
- Legal background or experience working closely with legal and regulatory matters.
- Familiarity with AI-enabled compliance tools, technology platforms, and process automation.
- Experience managing compliance across multiple provincial jurisdictions.
How to Apply
All applicants must have legal permission to work in Canada and require a valid Work Permit and Social Insurance Number.
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