Head of Compliance in Canada
Ontario
Management – Management /
Hybrid /
Hybrid
We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.
The function of Head of Compliance will lead the way in the maintenance, development and oversight of compliance practices and procedures in meeting financial services, anti-money laundering, conduct expectations and all other regulatory requirements.
Responsibilities:
- Manage a team of professionals in the compliance department (if applicable).
- Design, review and revise compliance policies, procedures, and controls to meet applicable legislation, regulatory requirements and best practice standards.
- Conduct the business monitoring, general compliance monitoring, training and regulatory reporting as required.
- Promoting, demonstrating and embedding a strong compliance culture.
- Liaise, report and establish a smooth relationship to the relevant regulatory authorities bodies. Conduct due diligence checks and ongoing AML reviews for existing clients and business partners.
- Act as key person for the oversight of all AML/CFT and sanctions matters, including implementation of effective and sustainable controls.
- Oversee systems and controls to Identify and mitigate potential areas of AML compliance vulnerability and risks/gaps and develop/implement pragmatic corrective action plans.
- Prepare reports for senior management, auditors and external regulatory bodies as appropriate.
- Keep up to date with all relevant regulatory changes as well as evolving best practices, carrying out gap and business impact analysis.
- Provide ongoing and ad-hoc support on compliance queries (both from internal and external stakeholders).Review marketing materials to ensure compliance with regulatory and scheme requirements.
- Assist with the identification, evaluation, monitoring and mitigation of operational risks; and proactively suggest improvements.
Requirements:
- A university diploma along with the relevant experience - 5 years working for an investment dealer or registered advisor, with at least three years in a compliance or supervisory capacity, or 3 years providing professional services in the securities industry, with at least 12 months experience working at an investment dealer or registered advisor in a compliance or supervisory capacity.
- Educational requirements: successful completion of (i) Chief Compliance Officers Qualifying Examination, and (ii) Partners, Directors and Senior Officers Course (Qualifying Examination).
- Be comfortable in a fast-paced environment, where non-routine and/or complex issues are common.
- Be able to handle complex issues, projects, and processes.
- Demonstrate strong moral and ethical principles.
- A willingness to learn, accept accountability, demonstrate initiative and support effective co-operation.
- A strong working knowledge of CIRO and local provinces financial services regulations and requirements.
- Strong sense of integrity and responsibility.
What you will get in return:
• Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.
• Work-Life Harmony: Join a company that genuinely cares about you - because your life outside of work matters just as much as your time on the clock. #LI-Hybrid
• Annual Performance Bonus: Your hard work doesn’t go unnoticed! Celebrate your achievements with a well-deserved annual bonus tied to your performance.
• Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry.
• Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.
• Comprehensive Health & Pension Benefits: From medical insurance to pension plans, we’ve got your back. Plus, location-specific benefits and perks!
• Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
• Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.
Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.
