Chief Compliance Officer

Summary

Join Alpaca, a leading brokerage infrastructure technology company, as our Chief Compliance Officer (CCO). You will play a crucial role in establishing a new CIRO Dealer Member, leading compliance efforts for the firm's application with regulatory authorities. This position requires managing daily compliance activities, developing policies and procedures, overseeing training programs, and building a high-performing compliance team. You will work closely with the President/CEO and engage with various regulators. The ideal candidate possesses extensive compliance experience, relevant certifications, and strong leadership skills. Alpaca offers a competitive salary, stock options, and comprehensive benefits.

Requirements

• Minimum 5+ years of compliance experience, including senior leadership roles
• Completion of the CSI Partners, Directors and Senior Officers Qualification Examination (“PDO”) and Chief Compliance Officer Qualifying Examination (“CCO”)
• Direct, in-depth knowledge of Canadian Securities Regulation and Financial Crime Regulation
• Proven experience in managing regulatory applications, particularly with CIRO, OSC, and FINTRAC
• Strong track record of developing and administering internal controls, with the ability to manage audits and exams independently
• Experience collaborating with remote, global teams to achieve compliance objectives
• Strong written and verbal communication skills for effectively engaging diverse stakeholders
• Demonstrated ability to navigate complex regulatory environments and proactively identify compliance solutions
• High ethical standards and a commitment to maintaining confidentiality

Responsibilities

• Lead compliance efforts for the firm’s CIRO Investment Dealer application, ensuring all regulatory requirements are met
• Responsible for day-to-day activities up to and including: responses to customers and regulatory inquiries, review and approval of incoming and outgoing correspondence, review and approvals for marketing material, any required regulatory filings (daily, weekly, monthly, etc.)
• Identify relevant regulatory requirements, monitor compliance, and deploy necessary changes in partnership with internal and external stakeholders
• Manage communications with CIRO, OSC, FINTRAC, and other regulators, including notifications, comment letters, and handling day-to-day interactions
• Create policies and procedures to ensure the business is properly supervised and managed. Maintain a complete record of all documentation as prescribed by regulation, and update as needed based upon business and regulatory changes
• Oversee compliance training programs for employees, ensuring they are well-informed of regulatory obligations
• Provide regular updates to senior management regarding compliance activities, risks, and incidents. Escalate material issues appropriately
• Partner with the President/CEO to recruit and develop a high-performing team
• Manage and develop global relationships with key stakeholders to ensure a consistent and integrated compliance approach
• Collaborate and support the firm’s teams to integrate new initiatives, regulatory obligations needs, and any other assignments as assigned by the President/CEO

Preferred Qualifications

• At least 2-3 years of experience in brokerage operations, clearing, or a related field
• Professional compliance or related qualifications, and membership of a recognized professional body
• Bachelor’s degree in finance, business, law, or equivalent work related field

Benefits

• Competitive Salary & Stock Options
• Benefits: Health benefits start on day 1. In the US this includes Medical, Dental, Vision. In Canada, this includes supplemental health care. In Japan, you are offered local benefits. Internationally, this includes a stipend value to offset medical costs
• New Hire Home-Office Setup: One-time USD $500
• Monthly Stipend: USD $150 per month via a Brex Card
• Work with awesome hard working people, super smart and cool clients and innovative partners from around the world