Chief Compliance Officer

1 week ago

Toronto Ontario, Ontario, Canada VirgoCX Full time

About Virgo Group


Founded in 2018, Virgo Group of Companies has been dedicated to offering cryptocurrency trading services across Canada. Our diverse business lines include VirgoCX, VirgoCX Wealth, and Virgo Digital Asset Management, providing exceptional services that span various aspects of crypto trading. Expanding our footprint further since 2022, we have also built a strong business presence in Australia, the U.S., and more in future. Rooted in a culture of continuous innovation, Virgo Group is prepared to become an integrated global digital asset service provider.


VirgoCX is committed to making crypto trading safe, easy, and affordable for Canadians. It is Canada's trusted cryptocurrency trading platform and is dedicated to streamlining trading experience and empowering clients with advanced technology, superior liquidity and best-in-class security.


Mission and Vision


Virgo Group’s mission is to provide easy and affordable access for all the clients to buy and sell digital currencies, including Bitcoin, Ethereum, and more. Whether you are new to this world or are experienced, Virgo Group supports you throughout your journey. Virgo Group is currently looking for a Chief Compliance Officer for its Canadian operations.


Responsibilities:


  • Promote compliance and set industry standards.
  • Maintain a deep knowledge and understanding of industry issues and processes, regulatory requirements, and associated changes.
  • Establish effective supervision and control of the firm’s activities to ensure it complies with applicable laws and regulations.
  • Review and approval of new client accounts, ensure that the know-your-client (KYC) information is complete.
  • Staff training to keep employees aware of changes to the firm’s operations and changes to securities legislation.
  • Leading and coordinating efforts related to audits, reviews and examinations.
  • Reviewing, responding, and investigating client complaints within a reasonable period.
  • Reviewing and updating, for compliance and effectiveness, of all contracts and forms.
  • Interacting with regulators on compliance issues.
  • Provide support to the business where necessary regarding the launch of products to ensure regulatory requirements are met, as appropriate.
  • Work cross-functionally across multiple teams to ensure execution against regulatory requirements and internal policies.
  • Delegating responsibilities and supervising tasks of the compliance team.
  • Review and approve outside business activities (“OBAs”) and/or conflicts of interest.
  • Oversight and supervision of registered employees.
  • NRD Registrations and licensing of employees with regulators as required under applicable securities requirements.
  • Confirm insurance and bonding was monitored and maintained in accordance with regulatory requirements.
  • Confirm working capital is monitored and maintained in accordance with regulatory requirements.
  • On an annual basis, or when changes are required, review and update as necessary the Policies and Procedures Manual and Relationship Disclosure Information Document.
  • Ensure that all violations of the firm's policies and procedures are promptly investigated and responded to.
  • Provide compliance reporting to the Board on a annual basis.
  • Reviewing, responding to and investigating all privacy related complaints.
  • Review employee conduct for compliance with all applicable privacy laws.
  • Coordinating with the IT department and reporting to the office of the privacy commissioner as needed.
  • Ensure successful completion of annual SOC 2 Type 2 audits.


Requirements:


  • Experience: Have 5+ years of work experience in compliance within a CIRO/IIROC dealer member and have prior experience working as a Chief Compliance Officer, or a senior position in a compliance department.
  • Education: You have an undergraduate degree in Finance, Business, Economics or any relevant degree
  • Knowledge: You are familiar with NI 31-103, CIRO Investment Dealer and Partially Consolidated Rules, PIPEDA, and rules set by regulatory authorities such as the Ontario Securities Commission (“OSC”), British Columbia Securities Commission (“BCSC”), Autorité des marchés financiers (“AMF”), and Canadian Investment Regulatory Organization (“CIRO”).
  • Collaborative Communication: You have a collaborative, team player spirit that helps you work well with others and communicate effectively.
  • Analytical & Strategic: You possess an analytical mind and enjoy solving problems with an eye for detail.
  • Time Management: You have the ability to work efficiently under pressure, both individually and as part of a team, dealing with changes and interruptions while maintaining strict deadlines.

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