Senior Compliance Manager

6 days ago

Québec City, Canada Mogo Full time

Senior Compliance Manager We’re hiring a Senior Compliance Manager for MogoTrade, a subsidiary of Mogo who will have a key role in developing and implementing compliance policies and procedures related to all aspects of a CIRO brokerage. Reporting directly to the Chief Compliance Officer, the Senior Compliance Manager will work closely with the MogoTrade team and other teams as necessary.Base Salary: CAD $90,000 - $110,000What You'll Do:Manage the development and maintenance of compliance policies and procedures including internal controls, training, independent testing, and recordkeeping requirementsBe the subject matter expert and provide advice to MogoTrade team on related compliance matters and emerging regulationsAssess new and emerging regulations and make recommendations to improve our practicesCreate and maintain a compliance and supervision schedule and ensure required activities are completedIn depth knowledge of TCC review and UMIR Policies.Prepare and present materials to key stakeholders relating to product due diligence, policies and procedures, and conflicts of interestMonitor and escalate any compliance related matters Assist the Chief Compliance Officer in responding to any compliance related inquiriesEnsure all regulatory reporting and gatekeeper reports are filed on a timely basisEnsure compliance with applicable privacy, advertising, social media, cyber-security, and other relevant legislation, regulations, and policiesReview and approve all necessary marketing materialsBe the subject matter expert in AML What You'll Need:University Degree in Finance, Economics, or a related disciplineQualification to be registered as an CIRO supervisorMinimum 3 years in a compliance role with an CIRO regulated dealer, preferably one in the OEO business In-depth understanding of the Canadian securities industry including relevant legislation, rules, and policiesAbility to build and maintain strong relationships and effective partnerships with internal and external stakeholdersCapable of handling multiple high-priority tasks and meeting strict deadlinesExceptional communication skills, both verbal and writtenBilingual (French and English)Ability to work well autonomously Benefits of working with us: ALWAYS FULLY REMOTE WORK - Enjoy the flexibility of remote work, supported by necessary resources #LI-Remote Comprehensive Health and Wellness - Access medical, dental, and vision coverage plus a Health Spending Account Stock Options - Have a stake in the company's success through stock options Flex Vacation - Benefit from paid time off, including vacation days, holidays, and personal days Wellbeing Programs - Access counselling services, mental health support, and additional wellness resources

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