Senior Compliance Manager

Mogo; Quebec; On-site; CAD 90,000 - 110,000; Full time

Job summary

A financial services company in Quebec is hiring a Senior Compliance Manager. This position focuses on developing compliance policies and collaborating with teams on regulatory matters. Ideal candidates have a degree in Finance and over 3 years of experience in a CIRO-regulated environment. The role offers a fully remote setup and comprehensive benefits including stock options and health coverage.

Benefits

Comprehensive health and wellness coverage

Stock options

Flexible vacation policy

Wellbeing programs

Qualifications

• At least 3 years of experience in a compliance role.
• Qualification to be registered as a CIRO supervisor.
• Deep understanding of the Canadian securities industry.

Responsibilities

• Manage the development of compliance policies and procedures.
• Serve as the subject matter expert on compliance matters.
• Prepare and present materials to stakeholders.

Skills

Knowledge of compliance policies

Relationship-building skills

Bilingual (French and English)

Ability to handle multiple priorities

Education

University Degree in Finance or related field

Job description

We’re hiring a Senior Compliance Manager for MogoTrade, a subsidiary of Mogo. This role is key in developing and implementing compliance policies and procedures related to all aspects of a CIRO brokerage. Reporting directly to the Chief Compliance Officer, the Senior Compliance Manager will collaborate closely with the MogoTrade team and other relevant departments.

Base Salary: CAD $90,000 - $110,000

What You'll Do:

• Manage the development and maintenance of compliance policies and procedures, including internal controls, training, independent testing, and recordkeeping requirements.
• Serve as the subject matter expert and advise the MogoTrade team on compliance matters and emerging regulations.
• Assess new and emerging regulations and recommend improvements to practices.
• Create and maintain a compliance and supervision schedule, ensuring all activities are completed.
• Possess in-depth knowledge of TCC review and UMIR Policies.
• Prepare and present materials to stakeholders regarding product due diligence, policies, procedures, and conflicts of interest.
• Monitor and escalate compliance-related issues.
• Assist the Chief Compliance Officer in responding to compliance inquiries.
• Ensure timely filing of all regulatory and gatekeeper reports.
• Maintain compliance with privacy, advertising, social media, cybersecurity, and other relevant legislation and policies.
• Review and approve marketing materials as necessary.
• Be the subject matter expert in AML compliance.

What You'll Need:

• University Degree in Finance, Economics, or a related field.
• Qualification to be registered as a CIRO supervisor.
• At least 3 years of experience in a compliance role with a CIRO-regulated dealer, preferably in the OEO business.
• Deep understanding of the Canadian securities industry, including relevant legislation, rules, and policies.
• Strong relationship-building skills with internal and external stakeholders.
• Ability to handle multiple priorities and meet deadlines.
• Exceptional verbal and written communication skills.
• Bilingual in French and English.
• Ability to work independently.

Benefits of Working with Us:

• Fully remote work environment with necessary resources.
• Comprehensive health and wellness coverage, including medical, dental, vision, and a Health Spending Account.
• Stock options to share in the company's success.
• Flexible vacation policy, including paid time off, holidays, and personal days.
• Wellbeing programs offering counseling, mental health support, and additional resources.

About Us:

We aim to help Canadians achieve financial freedom and make a positive impact. Despite living in an era of innovation, many still face financial struggles. We believe in a future where financial freedom is accessible to all, equitable, and resilient against climate change. Our mission is driven by the power of money to change the world, and we are committed to doing things differently.

Apply today! If you know someone who would be a great fit for this role or other opportunities on our career page, please share this posting. Mogo is an inclusive workplace that values talent and diversity. Bring your unique perspective and help our customers achieve their best financial lives.