Senior Compliance Manager
We’re hiring a Senior Compliance Manager for MogoTrade, a subsidiary of Mogo who will have a key role in developing and implementing compliance policies and procedures related to all aspects of a CIRO brokerage. Reporting directly to the Chief Compliance Officer, the Senior Compliance Manager will work closely with the MogoTrade team and other teams as necessary.
Base Salary: CAD $90,000 - $110,000
What You'll Do:
- Manage the development and maintenance of compliance policies and procedures including internal controls, training, independent testing, and recordkeeping requirements
- Be the subject matter expert and provide advice to MogoTrade team on related compliance matters and emerging regulations
- Assess new and emerging regulations and make recommendations to improve our practices
- Create and maintain a compliance and supervision schedule and ensure required activities are completed
- In depth knowledge of TCC review and UMIR Policies.
- Prepare and present materials to key stakeholders relating to product due diligence, policies and procedures, and conflicts of interest
- Monitor and escalate any compliance related matters
- Assist the Chief Compliance Officer in responding to any compliance related inquiries
- Ensure all regulatory reporting and gatekeeper reports are filed on a timely basis
- Ensure compliance with applicable privacy, advertising, social media, cyber-security, and other relevant legislation, regulations, and policies
- Review and approve all necessary marketing materials
- Be the subject matter expert in AML
What You'll Need:
- University Degree in Finance, Economics, or a related discipline
- Qualification to be registered as an CIRO supervisor
- Minimum 3 years in a compliance role with an CIRO regulated dealer, preferably one in the OEO business
- In-depth understanding of the Canadian securities industry including relevant legislation, rules, and policies
- Ability to build and maintain strong relationships and effective partnerships with internal and external stakeholders
- Capable of handling multiple high-priority tasks and meeting strict deadlines
- Exceptional communication skills, both verbal and written
- Bilingual (French and English)
- Ability to work well autonomously
Originally posted on Himalayas
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