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