Compliance Expert for Exempt Market Dealer

6 days ago

Vancouver, British Columbia, Canada Enoch Wealth Inc. Full time

Enoch Wealth Inc. is a reputable exempt market dealer registered with the BC, AB, and ON Securities Commission.

We are a Great Place to Work and Better Business Bureau accredited company, seeking an experienced Chief Compliance Officer (CCO) to lead our compliance function.

About the Role

The successful candidate will ensure Enoch Wealth Management adheres to all relevant securities regulations and internal policies, fostering a culture of compliance while supporting the company's growth objectives.

Key Responsibilities:
  • Develop, implement, and continuously improve a comprehensive compliance program aligned with Enoch's exempt market dealer activities.
  • Establish goals and metrics for compliance effectiveness, regularly reporting to the Board and senior management on compliance status and areas for improvement.
  • Provide direction on compliance matters to executive leadership, ensuring compliance is integrated into business strategies.
Policy Development & Regulatory Adherence

The ideal candidate will draft and maintain comprehensive policies covering areas such as anti-money laundering (AML), anti-fraud, data protection, and conflict of interest.

  • Draft and maintain policies that comply with BC, Alberta, and Ontario securities regulations, updating as needed based on evolving legal standards.
  • Engage in regular policy reviews and employee training to ensure firm-wide understanding and adherence to regulatory and ethical standards.
Risk Management & Audits

The CCO will conduct and oversee periodic risk assessments to identify compliance vulnerabilities, particularly in investment strategies and client interactions.

  • Coordinate both internal and external audits to evaluate the compliance program, documenting findings and implementing corrective measures.
  • Lead investigations into any compliance breaches, presenting reports and recommended actions to mitigate risks.
Training & Communication

The successful candidate will develop and implement a company-wide compliance training program, tailored for different levels and functions within the organization.

  • Communicate regulatory updates and provide training on new policies, ensuring staff are equipped to uphold compliance standards.
  • Foster a compliance-conscious culture by promoting ethical behavior and proactive adherence to regulatory standards.
Regulatory Change Monitoring & Reporting

The CCO will stay informed on regulatory changes impacting exempt market dealers, assess their impact on operations, and adjust compliance programs accordingly.

  • Prepare regular reports for regulatory bodies as required and maintain open communication with authorities to ensure continued regulatory alignment.
  • Advise on compliance implications of business initiatives, products, and partnerships, ensuring all new offerings meet regulatory standards.
Requirements

The ideal candidate will possess a Bachelor's degree in law, finance, or business and have a minimum of 7-10 years of experience in compliance, ideally within financial services or investment management.

Certifications such as CPA, CFA, or advanced degrees in law or business (JD, MBA) are preferred.

The successful candidate will also have exceptional analytical, leadership, and communication abilities for managing diverse compliance teams and stakeholders.

Benefits

This full-time position offers a competitive salary range of $120,000 - $180,000 per annum, depending on experience.

The role also includes a comprehensive benefits package, including dental care and on-site gym access.

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