Senior Compliance Manager

Mogo; Remote; CAD 100,000 - 120,000; Full time

Job summary

A leading financial services provider is hiring a Senior Compliance Manager to develop and implement compliance policies for their brokerage and asset management divisions. The role requires a university degree, CIRO supervisor qualification, and 3+ years in a compliance role. Candidates must be bilingual in French and English and possess strong communication skills. This position supports remote work and offers various health benefits, stock options, and flexibility for vacation.

Benefits

Stock Options

Comprehensive Health and Wellness

Flex Vacation

Wellbeing Programs

Qualifications

• Minimum 3 years in a compliance role with a CIRO regulated dealer.
• In-depth understanding of the Canadian securities industry.
• Good understanding of AMF regulated portfolio management.

Responsibilities

• Develop and maintain compliance policies and procedures.
• Provide compliance advice to teams.
• Ensure timely filing of regulatory reports.

Skills

Bilingual (French and English)

Exceptional communication skills

Relationship building

Ability to handle multiple tasks

Education

University Degree in Finance or Economics

Qualification to be registered as a CIRO supervisor

Job description

We’re hiring a Senior Compliance Manager for MogoTrade and Mogo Asset Management Inc. (MAMI), subsidiaries of Mogo who will have a key role in developing and implementing compliance policies and procedures related to all aspects of a CIRO brokerage and an AMF portfolio management. Reporting directly to the Chief Compliance Officer, the Senior Compliance Manager will work closely with the MogoTrade and MAMI team and other teams as necessary.

Base Salary for this role: $100,000 - $120,000 CAD

What you’ll do

• Manage the development and maintenance of compliance policies and procedures including internal controls, training, independent testing, and recordkeeping requirements
• Be the subject matter expert and provide advice to MogoTrade team on related compliance matters and emerging regulations
• Assess new and emerging regulations and make recommendations to improve our practices
• Create and maintain a compliance and supervision schedule and ensure required activities are completed
• Prepare and present materials to key stakeholders relating to product due diligence, policies and procedures, and conflicts of interest
• Monitor and escalate any compliance related matters
• Assist the Chief Compliance Officer in responding to any compliance related inquiries
• Ensure all regulatory reporting and gatekeeper reports are filed on a timely basis
• Ensure compliance with applicable privacy, advertising, social media, cyber-security, and other relevant legislation, regulations, and policies
• Review and approve all necessary marketing materials
• Be the subject matter expert in AML

What you’ll need

• University Degree in Finance, Economics, or a related discipline
• Qualification to be registered as a CIRO supervisor
• Minimum 3 years in a compliance role with a CIRO regulated dealer, preferably one in the OEO business
• In-depth understanding of the Canadian securities industry including relevant legislation, rules, and policies
• Ability to build and maintain strong relationships and effective partnerships with internal and external stakeholders
• Capable of handling multiple high-priority tasks and meeting strict deadlines
• Exceptional communication skills, both verbal and written
• Must be bilingual (French and English)
• Ability to work well autonomously
• Good understanding of the portfolio management industry (AMF regulated)
• In depth knowledge of TCC review and UMIR Policies

Benefits of working with us

• ALWAYS FULLY REMOTE WORK - Enjoy the flexibility of remote work, supported by necessary resources
• 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

About Us

We help make it easy for Canadians to achieve financial freedom while making a positive impact. We live in the most innovative and technologically advanced era, yet much struggle exists. We all want a better future — a future where reaching financial freedom is a question of when, not if, and one that's equitable and safe from the impact of climate change. Our money has the power to change the world. It’s up to us to do things differently.

Apply today! Mogo is an inclusive place to spend your work life. We hire team members for their talent and diverse backgrounds. Bring your unique perspective to Mogo and help our customers achieve their best financial lives.