Chief Compliance Officer - GrowthWorks

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Updated: August 12, 2013

GrowthWorks is looking for a Chief Compliance Officer to join our growing team. We regard our employees as our most important and valuable asset. We strive to create positive workplace culture and an environment that is fair, equitable, respectful and supportive. We encourage you to submit your application online for an opportunity to become part of our family.

 

The Chief Compliance Officer is primarily responsible to manage and lead the national compliance function for all Retail Venture Funds within GrowthWorks Capital Ltd, reporting to CEO. It will be critical for the successful candidate to establish and maintain a strong and effective compliance culture throughout the organization.

 

Key Responsibilities:

 
  • Maintain and develop compliance policies and procedures in accordance with applicable regulations, as required 
  • Monitor and review policy and procedure engagement within the organization with each operational department (portfolio management, fund reporting, accounting, sales and marketing) 
  • Ensure all regulatory reporting is accurate, complete and timely 
  • Attend and participate in Board of Director’s meetings for each Retail Venture Capital fund (currently Working Opportunity Fund, Canadian Fund, Commercialization Fund and Atlantic Venture Fund) 
  • Provide support and reporting to Retail Venture Capital Independent Review Committees and maintain current Conflict of Interest Manual policies and procedures, involves quarterly meetings and various submissions 
  • Educate and support personnel on compliance matters in addition to promoting policy and procedures in terms of understanding, engagement and application.
  • Evaluate, develop and maintain high level risk management observation and reporting
  • Interact with various regulatory bodies effectively
  • Maintain strong working relationships with legal counsels for the RVC Funds and GrowthWorks
  • Attend industry seminars to keep current on developments relevant to the compliance function and policies and procedures maintenance
  • Lead, develop and manage compliance personnel that report to the Chief Compliance Officer
 

Qualifications:

 
  • Minimum 5 years high level compliance management experience in the investment fund industry (either as CCO or in a senior compliance management role)
  • Relevant post-secondary education or professional designation (CSC /PDO/CCO qualification exams, or the willingness to complete the courses )
  • Venture capital experience an asset
  • Strong organizational and time management skills
  • Demonstrated strong interpersonal skills and team orientation
  • Strong communication skills (both oral and written)
  • Ability to effectively manage multiple projects, strong analytical and reasoning skills
  • High attention to detail
 

Location: GrowthWorks offices in Vancouver with periodic travel requirements to Toronto and Halifax

 
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