Regulatory Compliance Leader
2 weeks ago
Company Overview
Enoch Wealth Inc. is a reputable Exempt Market Dealer registered with the BC, AB, and ON Securities Commission. With over 8 years of experience in alternative investments, our team has extensive knowledge and expertise in identifying and accessing a diverse range of investment opportunities across North America.
We are committed to maintaining a culture of compliance while supporting our growth objectives. As a responsible corporate citizen, we strive to foster a Great Place to Work environment, adhere to Better Business Bureau standards, and provide exceptional service to our clients.
Job Summary
We are seeking an experienced Chief Compliance Officer (CCO) to lead our compliance function. The ideal candidate will have a deep understanding of financial regulations, risk management, and compliance auditing, as well as excellent leadership and communication skills.
The CCO will be responsible for developing, implementing, and continuously improving a comprehensive compliance program aligned with Enoch's exempt market dealer activities. This includes establishing goals and metrics for compliance effectiveness, providing direction on compliance matters to executive leadership, and ensuring that policies comply with relevant securities regulations.
Key Responsibilities:
Compliance Strategy & Oversight
- Develop and implement a robust compliance program that meets regulatory requirements and aligns with business strategies.
- Establish key performance indicators (KPIs) to measure compliance effectiveness and report regularly to senior management and the Board.
- Provide guidance on compliance matters to executive leadership and ensure that compliance is integrated into business decision-making processes.
Policy Development & Regulatory Adherence
- Develop 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 and update as needed based on evolving legal standards.
- Conduct 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 and develop strategies to mitigate risks.
- Oversee internal and external audits to evaluate the effectiveness of the compliance program and document findings.
- Investigate any compliance breaches, present reports, and recommend corrective actions to mitigate risks.
Training & Communication
- Develop and implement a company-wide compliance training program tailored to different levels and functions within the organization.
- Communicate regulatory updates and provide training on new policies to ensure staff are equipped to uphold compliance standards.
- Foster a compliance-conscious culture by promoting ethical behavior and proactive adherence to regulatory standards.
Qualifications:
- Education: Bachelor's degree in law, finance, or business required; certifications such as CPA, CFA, or advanced degrees in law or business (JD, MBA) preferred.
- Experience: Minimum of 7-10 years in compliance, ideally within financial services or investment management, with hands-on experience in developing scalable compliance infrastructures.
- Skills: In-depth knowledge of financial regulations, risk management, and compliance auditing; exceptional analytical, leadership, and communication abilities for managing diverse compliance teams and stakeholders.
Salary: $120,000-$140,000 per year
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