Chief Compliance Officer

2 weeks ago

Toronto, Canada Apex Clearing Full time

Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, to simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech solutions enables us to support clients such as Stash, Betterment, SoFi, and WeBull, and more than 20 million of our clients' customers.

Collectively, AFS creates an environment in which companies with the biggest ideas in fintech are empowered to change the world. We are based in Dallas, TX and also have offices in Austin, New York, Chicago, Los Angeles, Portland, and Belfast.

If you are seeking a fast-paced and entrepreneurial environment where you'll have the opportunity to make an immediate impact, and you have the guts to change everything, this is the place for you.

AFS has received a number of prestigious industry awards, including:

- 2021, 2020, 2019, and 2018 Best Wealth Management Company - presented by Fintech Breakthrough Awards
- 2021 Most Innovative Companies - presented by Fast Company
- 2021 Best API & Best Trading Technology - presented by Global Fintech Awards

Reporting to the Board and the CEO/UDP, the **Chief Compliance Officer** will be part of an agile, industry-leading senior management team responsible for delivering innovative and effective solutions to support Apex Fintech Solutions', new Canadian Broker Dealer, **AFS Securities Canada**.

**Responsibilities**

Leveraging their experience in a compliance leadership role, the CCO will ensure the compliance framework and supervision structure of the company meets all regulatory requirements, including: maintaining an effective compliance communication and training program; identifying areas of vulnerability and risk; collaborating with other departments to ensure compliance issues are identified and resolved; and ensuring a broad understanding of, and adherence to, regulatory requirements across the organization.
- Advise on regulatory, fiduciary, risk and other issues related to carrying broker and trading activities
- Advocate and engage with regulators, industry groups and manage external legal counsel relationships
- Provide compliance advice and support to senior management as directed
- Assist in identifying and analyzing the impact of new or changing legislations and regulations.
- Ensure compliance with local/extra-provincial laws and regulations including the management of corporate registrations, annual filings, and licenses
- Assist in drafting, maintaining, develop written policies, processes, and procedures to ensure regulatory compliance and industry best practices
- Advise on policy/governance matters and collaborate with and advise the senior management with regards to such matters
- Participate in the negotiation of agreements with third parties
- Be a knowledgeable resource to assist in problem solving for new or novel issues
- Assist in ensuring internal audits and branch audits are conducted to meet the necessary requirements of the various regulatory bodies including IIROC, OSC, CSA, and FINTRAC.
- Ensure satisfactory completion of any audits and reviews by securities commissions and regulatory bodies, including implementing any recommendations or requirements for new or enhanced policies, procedures, and practices
- Represent AFS Securities Canada externally, including meeting with clients and consultants; engaging with relevant regulatory agencies to advocate on behalf of AFS Securities Canada and its clients; and communicating with peer organizations on matters of mutual interest
- Complete and present annual Chief Compliance Officer report to the Board, advising of the adequacy of the policies, procedures, and controls in place, and advising of any unresolved issues.
- Review any material conflicts of interest that may affect Clients
- Review and approve personal trading activity, to prevent conflicts of interest and appropriate treatment of material non-public information.
- Review and approve all marketing materials.
- Review, respond, and investigate all Client complaints.

**Experience & Qualifications**
- 10+ years' experience in regulatory compliance in roles of increasing responsibility, including a minimum of 2 years in a leadership role as a senior compliance executive of an IIROC registered broker dealer.
- Expert knowledge of the Canadian regulatory framework, including an intimate understanding of provincial securities laws and regulations.
- Familiarity or experience with the United States regulatory framework and requirements considered an asset (i.e., SEC, FINRA).
- Strong technical skills, sharp intellect, and the ability to understand difficult, complex compliance and business issues while providing practical, workable solutions to the business.
- Established, collaborative working relationships with provincial securities regulators.
- A post-secondary degree in business, accounting, finance, or similar field of study.
- A Law degree, CPA designation,

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