Compliance Program Manager
3 weeks ago
Enoch Wealth Inc. is a reputable Exempt Market Dealer registered with the Securities Commission in BC, AB, and ON. The company has been recognized as a Great Place to Work and Better Business Bureau accredited firm. We are seeking a seasoned Compliance Officer (CCO) to spearhead our compliance function. As CCO, 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.
This role involves designing, implementing, and continuously refining Enoch's compliance framework and policies, conducting internal and external audits, and advising the executive team on emerging regulatory changes.
Key Responsibilities- Compliance Strategy & Oversight:
- Develop a comprehensive compliance program aligned with Enoch's exempt market dealer activities.
- Establish key performance indicators (KPIs) for compliance effectiveness and regularly report to the Board and senior management on compliance status and areas for improvement.
- Provide guidance on compliance matters to executive leadership, ensuring compliance is integrated into business strategies.
- Policy Development & Regulatory Adherence:
- Draft and maintain detailed 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 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 a comprehensive 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 and assess their impact on operations.
- 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:
- Bachelor's degree in law, finance, or business required.
- Certifications such as CPA, CFA, or advanced degrees in law or business preferred.
Experience:
- Minimum of 7-10 years in compliance, ideally within financial services or investment management.
Estimated Salary: $120,000 - $180,000 per year
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