Compliance Operations Manager

1 month ago

Montreal, Quebec, Canada Mogo Full time

Join Our Team as a Compliance Manager

Are you passionate about regulatory adherence and ethical business practices? Mogo is seeking a dedicated Compliance Manager to enhance our Legal & Compliance Team. In this pivotal role, you will report directly to the Chief Compliance Officer and work collaboratively with various departments to ensure our operations align with all legal standards and maintain our commitment to integrity.

Key Responsibilities:

  • Formulate, execute, and uphold compliance policies and procedures to guarantee alignment with relevant laws, regulations, and industry best practices.
  • Conduct ongoing compliance risk evaluations and internal audits to pinpoint potential non-compliance areas and devise strategies to mitigate these risks.
  • Stay abreast of regulatory changes and industry trends to ensure the company’s compliance with applicable laws.
  • Offer guidance and support to internal teams on compliance-related issues, including product development and customer service.
  • Collaborate with cross-functional teams to integrate compliance controls within new products and initiatives.
  • Investigate compliance-related matters and create corrective action plans as necessary.
  • Prepare and submit regulatory filings, reports, and disclosures as mandated by regulatory authorities.
  • Act as the primary liaison for regulatory inquiries and examinations, coordinating responses with relevant stakeholders.
  • Review and approve new client portfolios and oversee daily trades executed by Portfolio Managers.
  • Design and implement compliance training programs to enhance employee awareness and understanding of compliance obligations.
  • This position is remote with standard working hours.

Qualifications:

  • Bachelor's degree in business, finance, law, or a related discipline; advanced degrees or professional certifications are preferred.
  • A minimum of 3 years of experience in compliance roles within the financial services sector, ideally in a fintech environment.
  • In-depth knowledge of relevant regulations and industry standards, including AML/CTF, KYC, consumer protection, and privacy laws.
  • Completion of Canadian Securities course and compliance industry experience is strongly preferred.
  • Proficiency in Microsoft Suite and strong computer skills.
  • Exceptional attention to detail with a focus on accuracy in repetitive tasks.
  • Excellent analytical abilities to interpret complex regulatory requirements and apply them to business scenarios.
  • Demonstrated ability to work independently and prioritize tasks effectively.
  • Detail-oriented with a commitment to accuracy and integrity.

Why Work With Us:

  • Enjoy the flexibility of remote work, supported by necessary resources.
  • Access comprehensive health and wellness benefits, including medical, dental, and vision coverage.
  • Participate in stock options to share in the company's success.
  • Benefit from flexible vacation policies, including paid time off and personal days.
  • Engage in an innovative and inclusive workplace culture.
  • Access wellbeing programs, including counseling services and mental health support.

About Mogo:
At Mogo, we strive to empower Canadians to achieve financial freedom while making a positive impact. We believe in a future where financial success is attainable for everyone, and we are committed to doing things differently to create a better world.

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