Director, Compliance Risk Management

1 day ago

North York ON, Canada Worthland Consulting Inc. Full time

Worthland Consulting Inc. is a premier quality recruitment agency based in Canada that specializes in the web3 and crypto space. Our mission is to connect the best candidates with the right jobs in these industries. Whether you are looking to hire new staff or find a new job, we are here to help.

We are hiring a Chief Compliance Officer for one of our esteemed clients in Canada. This client is a leading player in the cryptocurrency trading industry, dedicated to offering innovative and secure trading services while ensuring full compliance with applicable regulations and industry standards.
As a Chief Compliance Officer, you will play a critical role in promoting a culture of compliance, supervising firm activities, and setting industry standards. You will maintain a deep understanding of regulatory requirements and implement robust processes to ensure compliance. This role requires you to lead audits, reviews, and examinations, while working cross-functionally across teams to align with regulatory expectations.
The successful candidate will be responsible for overseeing compliance policies, reviewing client accounts, managing regulatory relationships, and ensuring the organization adheres to privacy laws and standards. This is a full-time position with the opportunity to make a significant impact in a dynamic and fast-paced industry.

Promote compliance and set industry standards for cryptocurrency trading services.
Maintain a deep understanding of industry issues, regulatory requirements, and associated changes.
Establish effective supervision and control of the organization’s activities to ensure adherence to applicable laws and regulations.
Review and approve new client accounts, ensuring know-your-client (KYC) information is complete.
Investigate and respond to client and privacy-related complaints in a timely manner.
Review and update contracts, forms, and compliance policies for effectiveness.
Interact with regulators on compliance issues and ensure alignment with regulatory standards.
Oversee NRD registrations, licensing, and compliance of employees under securities requirements.
Monitor and maintain regulatory requirements for insurance, bonding, and working capital.
Conduct annual reviews of compliance policies and procedures, ensuring they are up-to-date.
Experience : Minimum 5+ years of experience in compliance within a CIRO/IIROC dealer member. Previous experience as a Chief Compliance Officer or in a senior compliance position is required.
Education : An undergraduate degree in Finance, Business, Economics, or a related field.
Knowledge : Familiarity with NI 31-103, CIRO Investment Dealer Rules, PIPEDA, and regulatory requirements set by the OSC, BCSC, AMF, and CIRO.
If you are an experienced compliance professional looking to contribute to a leading organization in the cryptocurrency industry, we encourage you to apply.

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