Who we are:
Harbourfront Wealth is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing wealth management firm with over $15 billion in assets under administration, comprised of five integrated entities: CIRO dealer, investment counsel, asset manager, U.S. Registered Investment Advisor (RIA) and insurance company. Harbourfront Wealth Counsel is a wealth management entity operating under the broader Harbourfront Wealth Management platform. HWC provides comprehensive investment advisory and wealth management services to high-net-worth and professional clients across Canada.

Career opportunity:
Our subsidiary, Harbourfront Wealth Counsel, is looking to hire a permanent full-time Chief Compliance Officer to join our growing firm. As Chief Compliance Officer, you will have primary responsibility for overseeing and ensuring HWC’s compliance with applicable securities regulations and regulatory requirements. This role is accountable for maintaining a strong compliance framework across the firm and supporting a culture of regulatory integrity among employees.

You will be responsible for:

Review and approval of new client documentation;
Maintenance and oversight of HWC’s policies and procedures manual;
Oversight of HWC’s marketing, social media, and advertising materials;
Approval of outside business activities, including identifying and mitigating conflicts of interest;
Supporting the due diligence and ongoing monitoring of service providers;
Develop and deliver firm compliance training;
Monitor and implement regulatory updates and changes to legislation;
Ensure relationship disclosure information and conflicts of interest disclosures remain current and are provided to clients at account opening and upon required updates for existing clients;
Review and respond to client complaints;
Oversee anti‑money laundering and anti‑terrorist financing training and compliance as HWC’s AML Compliance Officer, ensuring adherence to PCMLTFA requirements and applicable international regulations, including UN anti‑terrorism measures;
Serve as Privacy Officer;
Address regulatory inquiries and ensuring all required filings are completed.

The ideal candidate for this position has:

Proven experience in a senior compliance, governance, or regulatory oversight role within the wealth management or financial services industry;
Strong working knowledge of CIRO regulations, securities legislation, and regulatory expectations;
Demonstrated experience reviewing and approving client documentation, disclosures, and regulatory filings;
Hands‑on experience overseeing policies and procedures manuals, including ongoing updates and maintenance;
Solid understanding of conflicts of interest, outside business activities, and mitigation frameworks;
Experience overseeing marketing, advertising, and social media materials for regulatory compliance;
Knowledge and experience conducting initial due diligence and ongoing oversight of third‑party service providers;
Experience designing, delivering, or overseeing firm‑wide compliance and regulatory training programs;
Strong understanding of AML/ATF requirements, including PCMLTFA obligations and international sanctions/anti‑terrorism regulations;
Prior experience acting as, or working closely with, an AML Compliance Officer and Privacy Officer;
Experience reviewing, investigating, and responding to client complaints and regulatory inquiries;
Strong organizational skills with the ability to manage multiple regulatory priorities simultaneously;
High attention to detail with strong written and verbal communication skills;
Ability to work independently while partnering effectively with senior leadership and business stakeholders.

Salary Range: $180,000 - $210,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity).

Diversity and Inclusion
Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.

Jobs at Harbourfront Wealth Management

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