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Compliance Manager

Summary

The Compliance Manager, Canada will be responsible for ensuring LemFi’s compliance with all AML and compliance-related requirements under the laws of Canada. The role requires 5-7 years’ experience in a senior or management compliance role at a Canada-based fintech or financial institution.

Requirements

• 5-7 years’ experience in a senior or management compliance role at a Canada-based fintech or financial institution
• Experience with mentoring, training and managing compliance staff and driving forward operational improvements
• Direct experience and familiarity with regulatory communications and licensing/registration efforts with FINTRAC
• Comprehensive knowledge of Canadian federal and provincial regulatory environments, developments, and registration requirements
• Excellent analytical, research, verbal and written communication skills
• Adaptability to global operational needs and ability to work in a rapidly changing business and regulatory environment
• Ability to thrive as part of a team and be an empowering, constructive and considerate colleague
• Data and analytical skills, including proficiency with Microsoft Excel and the ability to perform data analysis
• Ability to learn new technologies and systems

Responsibilities

• Ensure LemFi’s products and services fit the regulatory landscape
• Spearhead the effort in maintaining or obtaining the necessary regulatory registrations or licences, including conducting research for strategic compliance purposes
• Serve as the company’s leading AML regulatory expert in Canada
• Become the RPAA expert for LemFi in Canada. Develop and maintain the RPAA program and champion the implementation of its requirements
• Oversee the implementation of new regulatory requirements as they arise
• Serve as the liaison to national regulators or law enforcement authorities, including managing and handling law enforcement requests
• Maintain the relationships with Canadian banking or payments partners and ensure cooperation with any partner obligations
• Maintain the Canada AML compliance program, and ensure its alignment with LemFi’s global AML policy and existing enterprise operations
• Develop and maintain the regional AML risk assessment to identify key risk indicators, and assist LemFi in preparing for and mitigating these risks
• Contribute to MIS reports for the Senior Executive team, regular updates to the Board of Directors and Chief Compliance Officer of North America, and any other crucial ad-hoc updates or guidance to these parties
• Maintain responsibility for the submission and oversight of any relevant regulatory reports/ad hoc filings, transaction reporting, unusual activity reports (UARs), STR filings, and any other reports, EFTOs/EFTIs, or filings needing submission to the relevant authorities or partners in Canada
• Spearhead and manage regulatory or independent AML audits in Canada
• Ensure compliance policies, procedures, trainings, and other relevant documentation align with regional AML requirements
• Manage and guide compliance staff, particularly those assigned with Canada-related compliance responsibilities
• Engage in cross-functional responsibilities and assist the Chief Compliance Officer where needed

Preferred Qualifications

• CAMS certification (or equivalent)
• Proficiency in a foreign language