Chief Compliance and Regulatory Affairs Officer

2 days ago

Toronto, Ontario, Canada VirgoCX Full time
About Virgo Group

Virgo Group is a leading cryptocurrency trading platform in Canada, offering exceptional services across various aspects of crypto trading. Founded in 2018, the company has expanded its business presence to Australia, the U.S., and more. Rooted in a culture of continuous innovation, Virgo Group aims to become an integrated global digital asset service provider.

VirgoCX is committed to making crypto trading safe, easy, and affordable for Canadians. It is Canada's trusted cryptocurrency trading platform, dedicated to streamlining trading experience and empowering clients with advanced technology, superior liquidity, and best-in-class security.

Mission and Vision

Virgo Group's mission is to provide easy and affordable access to all clients to buy and sell digital currencies, including Bitcoin, Ethereum, and more. Whether you are new to this world or experienced, Virgo Group supports you throughout your journey. The company is currently seeking a Chief Compliance and Regulatory Affairs Officer for its Canadian operations.

Job Description

The successful candidate will be responsible for promoting compliance and setting industry standards. This includes maintaining a deep knowledge and understanding of industry issues and processes, regulatory requirements, and associated changes. The officer will establish effective supervision and control of the firm's activities to ensure it complies with applicable laws and regulations.

  • Promote compliance and set industry standards.
  • Maintain a deep knowledge and understanding of industry issues and processes, regulatory requirements, and associated changes.
  • Establish effective supervision and control of the firm's activities to ensure it complies with applicable laws and regulations.
  • Review and approval of new client accounts, ensuring that the know-your-client (KYC) information is complete.
  • Staff training to keep employees aware of changes to the firm's operations and changes to securities legislation.
  • Leading and coordinating efforts related to audits, reviews, and examinations.
  • Reviewing, responding, and investigating client complaints within a reasonable period.
  • Reviewing and updating, for compliance and effectiveness, of all contracts and forms.
  • Interacting with regulators on compliance issues.
  • Providing support to the business where necessary regarding the launch of products to ensure regulatory requirements are met, as appropriate.
  • Working cross-functionally across multiple teams to ensure execution against regulatory requirements and internal policies.
  • Delegating responsibilities and supervising tasks of the compliance team.
  • Reviewing and approving outside business activities ('OBAs') and/or conflicts of interest.
  • Oversight and supervision of registered employees.
  • NRD Registrations and licensing of employees with regulators as required under applicable securities requirements.
  • Confirming insurance and bonding was monitored and maintained in accordance with regulatory requirements.
  • Confirming working capital is monitored and maintained in accordance with regulatory requirements.
  • On an annual basis, or when changes are required, reviewing and updating as necessary the Policies and Procedures Manual and Relationship Disclosure Information Document.
  • Ensuring that all violations of the firm's policies and procedures are promptly investigated and responded to.
  • Providing compliance reporting to the Board on a yearly basis.
  • Reviewing, responding to, and investigating all privacy-related complaints.
  • Reviewing employee conduct for compliance with all applicable privacy laws.
  • Coordinating with the IT department and reporting to the office of the privacy commissioner as needed.
  • Ensuring successful completion of annual SOC 2 Type 2 audits.
Requirements
  • Experience: Have 5+ years of work experience in compliance within a CIRO/IIROC dealer member and have prior experience working as a Chief Compliance Officer, or a senior position in a compliance department.
  • Education: You have an undergraduate degree in Finance, Business, Economics, or any relevant degree.
  • Knowledge: You are familiar with NI 31-103, CIRO Investment Dealer and Partially Consolidated Rules, PIPEDA, and rules set by regulatory authorities such as the Ontario Securities Commission ('OSC'), British Columbia Securities Commission ('BCSC'), Autorité des marchés financiers ('AMF'), and Canadian Investment Regulatory Organization ('CIRO').
  • Collaborative Communication: You have a collaborative, team-player spirit that helps you work well with others and communicate effectively.
  • Analytical & Strategic: You possess an analytical mind and enjoy solving problems with an eye for detail.
  • Time Management: You have the ability to work efficiently under pressure, both individually and as part of a team, dealing with changes and interruptions while maintaining strict deadlines.

Estimated Salary: $120,000 - $180,000 per year, based on industry standards and location.

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