Regulatory Manager

1 week ago

Toronto, Ontario, Canada Alpaca Full time
We are seeking an experienced and highly skilled Chief Compliance Officer (CCO) to play a foundational role in the creation and registration of a new CIRO Dealer Member acting as a registered introducing/carrying broker. This position is critical to the firm's application process with regulatory authorities and will help establish the operational and compliance framework needed for success. The CCO will work closely with the President/CEO to build out the team, policies, and procedures required to operate the broker-dealer and ensure full compliance with regulatory requirements.
Broker-Dealer Application: Lead compliance efforts for the firm's CIRO Investment Dealer application, ensuring all regulatory requirements are met.
Responsible for day-to-day activities up to and including: responses to customers and regulatory inquiries, review and approval of incoming and outgoing correspondence, review and approvals for marketing material, any required regulatory filings (daily, weekly, monthly, etc.)
Regulatory Compliance Management: Identify relevant regulatory requirements, monitor compliance, and deploy necessary changes in partnership with internal and external stakeholders.
Regulatory Engagement: Manage communications with CIRO, OSC, FINTRAC, and other regulators, including notifications, comment letters, and handling day-to-day interactions.
Policy Development: Create policies and procedures to ensure the business is properly supervised and managed. Maintain a complete record of all documentation as prescribed by regulation, and update as needed based upon business and regulatory changes.
Training Deployment: Oversee compliance training programs for employees, ensuring they are well-informed of regulatory obligations.
Reporting and Escalation: Provide regular updates to senior management regarding compliance activities, risks, and incidents. Team Building: Partner with the President/CEO to recruit and develop a high-performing team.
Strategic Leadership: Manage and develop global relationships with key stakeholders to ensure a consistent and integrated compliance approach.
Projects: Collaborate and support the firm's teams to integrate new initiatives, regulatory obligations needs, and any other assignments as assigned by the President/CEO.
Minimum 5+ years of compliance experience, including senior leadership roles.
Completion of the CSI Partners, Directors and Senior Officers Qualification Examination ("PDO") and Chief Compliance Officer Qualifying Examination ("CCO").
Bachelor's degree in finance, business, law, or equivalent work related field (preferred).
Direct, in-depth knowledge of Canadian Securities Regulation and Financial Crime Regulation.
Proven experience in managing regulatory applications, particularly with CIRO, OSC, and FINTRAC.
Strong track record of developing and administering internal controls, with the ability to manage audits and exams independently.
Experience collaborating with remote, global teams to achieve compliance objectives.
Demonstrated ability to navigate complex regulatory environments and proactively identify compliance solutions.
At least 2-3 years of experience in brokerage operations, clearing, or a related field.
Professional compliance or related qualifications, and membership of a recognized professional body.
At Alpaca, we offer a collaborative and supportive work environment where you can contribute to shaping our compliance culture and furthering our commitment to regulatory excellence. If you are a dedicated compliance professional looking to make a meaningful impact, we encourage you to apply and become part of our team.
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