Head of Compliance

Summary

Join a leading, globally expanding trading platform with top-rated products and a talented team. As Head of Compliance, you will lead the development and oversight of compliance practices, ensuring adherence to financial services, anti-money laundering, and other regulatory requirements. You will manage a compliance team, design and revise policies, conduct monitoring and reporting, and foster a strong compliance culture. This role involves liaising with regulatory authorities, performing due diligence, and mitigating AML risks. You will also prepare reports for senior management and external bodies, stay updated on regulatory changes, and provide compliance support. The position offers a competitive salary, work-life balance, annual bonuses, generous time off, employee referral program, comprehensive health and pension benefits, remote work options, volunteer days, and opportunities for career advancement.

Requirements

• A university diploma along with the relevant experience - 5 years working for an investment dealer or registered advisor, with at least three years in a compliance or supervisory capacity, or 3 years providing professional services in the securities industry, with at least 12 months experience working at an investment dealer or registered advisor in a compliance or supervisory capacity
• Educational requirements: successful completion of (i) Chief Compliance Officers Qualifying Examination, and (ii) Partners, Directors and Senior Officers Course (Qualifying Examination)
• Be comfortable in a fast-paced environment, where non-routine and/or complex issues are common
• Be able to handle complex issues, projects, and processes
• Demonstrate strong moral and ethical principles
• A willingness to learn, accept accountability, demonstrate initiative and support effective co-operation
• A strong working knowledge of CIRO and local provinces financial services regulations and requirements
• Strong sense of integrity and responsibility

Responsibilities

• Manage a team of professionals in the compliance department (if applicable)
• Design, review and revise compliance policies, procedures, and controls to meet applicable legislation, regulatory requirements and best practice standards
• Conduct the business monitoring, general compliance monitoring, training and regulatory reporting as required
• Promoting, demonstrating and embedding a strong compliance culture
• Liaise, report and establish a smooth relationship to the relevant regulatory authorities bodies. Conduct due diligence checks and ongoing AML reviews for existing clients and business partners
• Act as key person for the oversight of all AML/CFT and sanctions matters, including implementation of effective and sustainable controls
• Oversee systems and controls to Identify and mitigate potential areas of AML compliance vulnerability and risks/gaps and develop/implement pragmatic corrective action plans
• Prepare reports for senior management, auditors and external regulatory bodies as appropriate
• Keep up to date with all relevant regulatory changes as well as evolving best practices, carrying out gap and business impact analysis
• Provide ongoing and ad-hoc support on compliance queries (both from internal and external stakeholders).Review marketing materials to ensure compliance with regulatory and scheme requirements
• Assist with the identification, evaluation, monitoring and mitigation of operational risks; and proactively suggest improvements

Benefits

• Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated
• Work-Life Harmony: Join a company that genuinely cares about you - because your life outside of work matters just as much as your time on the clock. #LI-Hybrid
• Annual Performance Bonus: Your hard work doesn’t go unnoticed! Celebrate your achievements with a well-deserved annual bonus tied to your performance
• Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry
• Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team
• Comprehensive Health & Pension Benefits: From medical insurance to pension plans, we’ve got your back. Plus, location-specific benefits and perks!
• Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
• Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community