In the corporate world, there is often room for error. There are procedures, policies, and regulations to follow in every department. and there must be someone to oversee these policies. This person is known as the Chief Compliance Officer. Brad is the Chief Compliance Officer, or CCO, of Investors Group. As he says, he’s the police officer of the corporate world. By law, a firm like Investors Group, an investment fund manager and portfolio advisor must have a CCO. The main duty of the CCO is ensuring that the firm is following all regulations as an investor or as an advisor. He also makes certain that all employees are following all internal policies and procedures.
Brad didn’t have a typical reason for pursuing accounting when he went to school. When he was applying to the University of Manitoba, he happened to watch the movie Wall Street. He was not sure what faculty he wanted to go into, but watching this interesting movie cemented his decision. Brad says he never really aimed to have his career move towards becoming CCO, but more that is was a gradual transition. He began as an auditor and eventually moved to working in investment compliance. From there, he made a lateral transfer to his current job. However, Brad says he’s becoming someone who doesn’t follow a job description. He also follows many roles, able to switch from one job to another without issue. This, he says, come from working for Investors Group for 25 years. An example of his many roles is while Brad