OCTOBER 12, 2018 CAREERS lxxxi
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Assistant Vice President, Market Conduct
London, ON or Toronto
Reporting to the Canadian Chief Compliance Officer, this role oversees the Market Conduct
Compliance and Market Conduct Investigations teams, as well as functioning as the Senior
Business Compliance Officer, Distribution.
You will provide guidance to the team that leads investigations into allegations of negligence and/
or misconduct by advisors, and be accountable to ensure that regulatory compliance management
controls are in place, are adequate and operating effectively within the Company’s distribution
functions. In addition, provide independent expert advice and challenge distribution management
in respect of material business decisions that include a regulatory risk component.
Ideal candidates will be experienced leaders who are a lawyer, CPA or hold other relevant
financial services designations with 7-10 years of compliance experience dealing with distribution
To see complete details on this role and to apply, go online by October 26th.
We offer competitive compensation, great benefits such as medical, dental, life insurance,
wellness account and personal days not to mention onsite cafeteria and fitness facilities.