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Compliance Manager

4 months ago

Remote, Canada Mogo Finance Technology Inc. Full time

We’re hiring a Compliance Manager who will have a key role in developing and implementing compliance policies and procedures related to all aspects of a provincially-regulated Portfolio Manager, Investment Fund Manager, and Exempt Market Dealer. Reporting directly to the Chief Compliance Officer, the Compliance Manager will work closely with the MAMI team and other teams as necessary.

**What you’ll do**:

- Reporting directly to the Chief Compliance Officer, manage the development and maintenance of compliance policies and procedures including internal controls, training, independent testing, and recordkeeping requirements
- Act as the point person for all firm audits/surveys (AMF, OSC, Fintrac, desk audits, internal scheduled Audits and periodic risk assessment).
- Assess new and emerging regulations and make recommendations to improve our practices
- Create and maintain a compliance and supervision schedule and ensure the required activity is completed
- 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 is 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

**What you’ll need**:

- University Degree in Finance, Economics, or a related discipline
- Proficiency with Microsoft Office.
- Minimum 3 years of securities industry compliance experience. Experience working in a PM, IFM, and/or EMD preferred
- 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)

**About Us**

At Mogo, we leverage technology and design to push boundaries and transform the future of financial services. In a world dominated by big banks, archaic financial processes, and hidden fees, making money easy and engaging for Canadians is more important than ever. Get access to monthly credit score monitoring, ID fraud protection, personal loans, and mortgages - all at your fingertips. Mogo’s new MogoTrade app offers commission-free stock trading that helps users make a positive impact with every investment. Together with Moka, Mogo’s wholly-owned subsidiary bringing automated, fully-managed flat-fee investing to Canadians, these two products form the heart of Mogo’s digital wealth platform. Mogo’s wholly-owned subsidiary, Carta Worldwide, also offers a digital payments platform that powers the next-generation card programs from innovative fintech companies in Europe, North America and APAC.

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