Compliance Manager

5 hours ago

North York, Canada Moomoo Financial Canada Inc. Full time

**About the Role -Compliance Manager**
- About us:_

Moomoo is a globally recognized, award-winning, all-in-one stock trading app that empowers proactive retail traders with professional-level data and tools. Our mission is to revolutionize the retail investing experience through technological innovations. With over 20 million users worldwide, Moomoo has garnered immense popularity, especially in the U.S., Hong Kong, Singapore, Japan, Malaysia, and Australia. In Canada, Moomoo offers innovative investment products and a unique trading experience.
- Overview:_

**Responsibilities**:

- Demonstrate a comprehensive understanding of CIRO dealer rules, UMIR rules, Montreal Exchange, FINRA and SEC rules.
- Supervise client onboarding and trade execution, ensuring compliance with all relevant regulatory requirements and internal policies.
- Oversee and actively participate in the development of compliance-related policies, procedures, manuals, systems, and training initiatives.
- Oversee the efficient management of client complaints and registrations, ensuring compliance with regulatory standards.
- Develop and maintain a robust internal compliance program.
- Offer expert compliance support for interpreting exchange rules, CIRO & FINRA regulations.
- Provide strategic compliance advice and direction to senior management.
- Ensure compliance with governing regulations in Canada and internal policies, mitigating the risk of financial loss, reputational damage, and regulatory sanctions.
- Work proactively to resolve issues and implement corrective measures.

**Requirements and skills**:

- Bachelor's degree in Business, Finance, Law, or a related field.
- Relevant licensed Compliance Officer designation.
- Minimum of 5 years of experience in a compliance role within an CIRO-regulated firm.
- Profound knowledge of CIRO dealer rules, UMIR rules, Montreal Exchange, and FINRA rules.
- Leadership experience leading a team and working with cross functional teams/vendors.
- Fluent in English and preferably also French.

**Job Types**: Full-time, Permanent

**Salary**: From $80,000.00 per year

**Benefits**:

- Casual dress
- Company events
- Dental care
- Extended health care
- Life insurance
- Paid time off
- Vision care

Schedule:

- Monday to Friday

Supplemental pay types:

- Bonus pay
- Overtime pay

**Education**:

- Bachelor's Degree (preferred)

**Experience**:

- CIRO-regulated firm: 5 years (required)
- Compliance or Risk at a Canadian Financial Institution: 8 years (required)

Ability to Commute:

- North York, ON M2N 6L7 (required)

Work Location: In person

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