Compliance Director

2 weeks ago

Golden Horseshoe, Canada Enoch Wealth Inc. Full time

Enoch Wealth Inc., an Exempt Market Dealer registered with the BC, AB, and ON Securities Commission, seeks a Compliance Director to lead our compliance function. As a key member of our team, you 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
  • Compliance Strategy & Oversight
    • Develop, implement, and continuously improve a compliance program aligned with Enoch's exempt market dealer activities.
    • Establish goals and metrics for compliance effectiveness, regularly reporting to 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
    • Draft and maintain comprehensive policies covering areas such as anti-money laundering (AML), anti-fraud, data protection, and conflict of interest.
    • Ensure that policies 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
    • 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
    • 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
    • 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.
  • Cross-Departmental Collaboration
    • Act as a liaison between compliance, internal audit, legal, and risk management departments to ensure comprehensive coverage and alignment of compliance activities.
    • Work closely with senior management to identify and address compliance risks in business development, marketing, and customer relations.

This role involves creating, executing, and continuously enhancing Enoch's compliance framework and policies, conducting internal and external audits, and advising the executive team on emerging regulatory changes. We are seeking a highly skilled individual who can effectively manage compliance risks and maintain a robust compliance program.

Benefits

  • Dental care
  • Extended health care
  • On-site gym
  • Paid time off
  • Tuition reimbursement
  • Vision care

Requirements

  • Estimated salary: $120,000-$180,000 per year
  • Bachelor's degree in law, finance, or business required; certifications such as CPA, CFA, or advanced degrees in law or business preferred.
  • Minimum of 7-10 years in compliance, ideally within financial services or investment management, with hands-on experience in developing scalable compliance infrastructures.
  • In-depth knowledge of financial regulations, risk management, and compliance auditing; exceptional analytical, leadership, and communication abilities for managing diverse compliance teams and stakeholders.

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