Chief Operating Officer/Chief Compliance Officer
Dixon Mitchell Investment Counsel Inc. is an independent asset management firm providing investment solutions for individual and institutional clients. Dixon Mitchell was established in 2000 and now manages nearly $4 billion on behalf of Canadian families, pensions, foundations and Indigenous communities and organizations. Our culture is built around business integrity, client service, and the alignment of corporate and investor interests. Dixon Mitchell is based in Vancouver and has a satellite office in Calgary.
For this Vancouver-based role, the Chief Operating Officer / Chief Compliance Officer is responsible for ensuring Dixon Mitchell Investment Counsel is positioned to perform at a high level and respond to the demands of its operating and regulatory environment. This includes providing ongoing analysis of the operating environment while working with the President and Board to develop both long-term strategies and short-term operating plans. They will oversee corporate business functions including technology and office management, trade and back-office operations, and compliance.
We place a high value on our team spirit, camaraderie and creating a culture where each of us has an opportunity to succeed. We are a solution-oriented and collaborative team seeking like-minded individuals who thrive in a challenging and dynamic environment.
You are a strategic leader with a proven track record and passion for excellence in compliance, operational and financial goals within the wealth management industry. Your core values are honesty, integrity, and transparency. These traits contribute to your excellent work ethic. You can combine your enthusiasm, passion, curiosity, education, and experiences to see the big picture, focus on the details, solve complex problems, and communicate your ideas effectively to a broad range of people. You have strong interpersonal skills, and you are highly client focused.
- Lead the compliance function, maintaining and developing compliance policies and procedures
- Liaise with regulators and other members of the industry, as required
- Educate and support personnel on compliance matters in addition to promoting policy and procedures in terms of understanding, engagement, and application
- Supervision of the Compliance Analyst and associated regulatory reporting
- Plan, organize and direct activities to achieve or exceed goals in the following areas:
- Oversee Compliance, Financial, Risk and QI Audits
- Maintain excellent vendor relationships
- Technology Platforms, including working with our third-party technology support
- Trade and Back Office Operations
- Be an ambassador for the DM brand inside and outside the firm.
Qualifications / Requirements
- Minimum of 5 years of senior compliance and operational leadership experience in the financial services industry
- Experience with trading systems, risk management and CRM tools
- Highly proficient in Office365
- Excellent interpersonal, presentation, and communication skills
- Strong financial and business acumen with proven success in developing and overseeing the execution of corporate strategy
- Must be qualified to be registered as a Chief Compliance Officer under the ICPM framework in Canada
- Eligible to work in Canada
Dixon Mitchell offers a competitive compensation package and comprehensive benefits plan.
Individuals meeting the criteria above are encouraged to submit their resume in confidence by emailing firstname.lastname@example.org. While we thank all candidates for their interest, only selected individuals will be contacted for follow-up.
Dixon Mitchell Investment Counsel values the diversity of the people it hires and serves and is proud to be an equal opportunity employer. Diversity at Our Company means fostering a workplace in which individual differences are recognized, appreciated, respected, and responded to in ways that fully develop and utilize each person’s talents and strengths. If you require accommodation to complete the application process, please contact us