Job Description

Assistant Chief Compliance Officer- Empire Life Investments Inc.

Location: Toronto, ON

The Assistant Chief Compliance Officer (ACCO) for Empire Life Investments Inc. will report directly to the Chief Compliance Officer (CCO) and be positioned as the named successor to the CCO role. The ACCO will work closely with the CCO to support and develop the firm’s compliance program, assuming greater responsibility over time with the goal of transitioning into the Chief Compliance Officer position. This individual will assist in overseeing compliance activities, ensuring alignment with regulatory requirements, and maintaining internal adherence to policies. The role involves policy development, compliance monitoring, oversight of trading and operational activities, and acting as a trusted advisor on regulatory matters. The ACCO will also collaborate with internal stakeholders, including Empire Life’s Compliance function, and external counsel to sustain a strong compliance culture across all areas of the organization.

Why pursue this opportunity

Our mission - Provide expertise and intelligent solutions to help Canadians navigate life with confidence.

Assume a pivotal leadership position - harness your expertise to deliver impactful results, shaping and leading your area with experienced foresight.

Influence and innovate at the highest level - we welcome leaders who bring a dynamic blend of fresh perspectives and leading practices to steer our strategic course.

What you’ll be working on

Policy and Procedure Development

• Conduct annual reviews and updates of policies and procedures
• Collaborate with external counsel to draft new or refine policies
• Provide training on policies, as required

Compliance Reporting

• Prepare quarterly reports for the Board and the Independent Advisory Committee and an annual CCO report
• Maintain the Compliance Dashboard and provide compliance reporting to the UDP
• File personal trading reports monthly and quarterly

Regulatory Filings

• Manage and file regulatory submissions including financial statements, Form 31-103F1, Form 45-106F1
• Renew legal entity identifiers (LEIs)
• Ensure compliance with Canadian sanctions and terrorism reporting
• Liaise with regulators on compliance and regulatory matters

Supervision of Investment and Trading Activities

• Oversee trading practices to ensure adherence to best execution, fair allocation, trade supervision/monitoring, correction of trade errors, and prohibited/cross‑trading policies
• Conduct semi-annual reviews of broker commission allocations
• Monitor and test client account investment restrictions and regulatory requirements
• Report deficiencies with recommended corrective action. Conduct ongoing evaluations of accounts and statements
• Oversee fund accounting reviews
• Know-Your-Client (KYC) and Know-Your-Product (KYP) oversight

Third-Party and Outsourced Functions Oversight

• Supervise outsourced services under the Inter-Corporate Services Agreement
• Oversee activities by external service providers

Conflict-of-Interest (COI) Management

• Maintain and update the COI Matrix
• Revise the COI Statement per regulatory requirements
• Assess additional controls and monitor compliance

Registration and Onboarding

• Manage individual and corporate registration matters
• Onboard international investment dealers, including reviewing policies

Regulatory Research and Training

• Conduct regulatory research to address new requirements and emerging issues
• Partner with outside legal counsel on compliance matters
• Deliver compliance training aligned with new regulations

Other

• As a Business Unit Compliance Officer (BUCOs) within Empire Life, provide reporting on compliance to the Vice-President and CCO of Empire Life and participate in meetings with Legal and Compliance team members on compliance matters

What we’re looking for you to have

• CFA Charter or professional designation as a lawyer, CA or CGA or CMA
• Minimum of 5 to 10 years working in a compliance capacity at an investment dealer, a registered advisor or investment fund manager OR equivalent experience while working at a registered dealer, a registered advisor or investment fund manager
• Completion of the Canadian Securities Course Exam and either the PDO Exam or the Chief Compliance Officers Qualifying Exam
• Deep understanding and demonstrated application of relevant regulatory frameworks
• Proactively monitors and interprets emerging issues and changes in the regulatory, legal, and business environments
• Well-developed research, analytical, problem solving and decision-making skills
• Tact, diplomacy and the ability to handle confidential information
• Ability to organize and balance multiple tasks and projects
• Attention to detail/accuracy
• If you are applying for a position which is open to applicants across Canada, unless otherwise indicated in the position, language proficiency in English is required for communicating with customers, advisors, or employees across Canada.

Beyond the salary

For permanent full-time positions, Empire Life offers a comprehensive total rewards package that includes:

• Competitive salaries with annual pay increases
• Annual bonus program, which recognizes both strong company performance and individual contributions, for non sales positions
• Competitive uncapped commission, for sales positions
• A comprehensive employer-funded benefits package starting from day one of employment, that includes life insurance, disability, health and dental and a generous health account
• Flexible work arrangements and an annual allotment of personal health days.
• Four weeks annual vacation from hire date
• A defined contribution pension plan with generous employer matching
• Top up programs for parental leave and compassionate leave
• Employer-sponsored wellness and recognition programs
• A cash employee referral program

To learn more about working at Empire Life, visit .

Get to know us

Empire life is proud to be an equal opportunity employer. We celebrate diversity, are committed to creating an inclusive environment, and welcome everyone to participate in our application process. We encourage those of all backgrounds and experiences to apply, even if you don't believe you meet each unique qualification outlined. Applicants will receive equal consideration without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, disability, or age.

Empire Life welcomes applications from people with disabilities and disabled people. Accommodations are available upon request for candidates taking part in all aspects of the screening and selection process. If you need this job posting in an alternative format or have any accessibility questions, please contact recruitment@empire.ca .

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