Senior Compliance Manager

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