Compliance Expert Leader

18 hours ago

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

Enoch Wealth Inc. is an 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, and are seeking a Chief Compliance Officer (CCO) to lead our compliance function.

As the 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 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.

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 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
  • 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.

The ideal candidate should have a Bachelor's degree in law, finance, or business, and certifications such as CPA, CFA, or advanced degrees in law or business (JD, MBA).

Experience: Minimum of 7-10 years in compliance, ideally within financial services or investment management, with hands-on experience in developing scalable compliance infrastructures.

A competitive salary range is $120,000 - $180,000 per year, commensurate with experience, plus additional benefits including dental care and an on-site gym.

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