Compliance Manager

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Job Description - Compliance Manager

#UrgentRequirement

First Point Group is working with a globally-award-winning, all-in-one stock trading app that brings professional level data and tools to the hands of proactive retail traders on a global scale, to support them in their search for Compliance Manager to be based in their Canada office.

We are actively seeking a seasoned and dedicated Compliance Manager to join my client's team at Canada, a registered CIRO (previously known as IIROC) dealer in Canada. Leveraging extensive expertise in investment and marketing compliance, auditing, investigations, trade supervision, licensing, and registration, the successful candidate will play a pivotal role in upholding the highest standards of regulatory adherence. This role demands adeptness at navigating complex regulatory environments, with a proven track record of successful collaboration with regulatory bodies such as OSFI, FINTRAC, OSC, IIROC, and MFDA.

Job responsibility

  • Demonstrate a comprehensive understanding of IIROC dealer rules, UMIR rules, Montreal Exchange, FINRA and SEC rules.
  • Supervise client onboarding and trade execution, ensuring compliance with all relevant regulatory requirements and internal policies.
  • Oversee and actively participate in the development of compliance-related policies, procedures, manuals, systems, and training initiatives.
  • Oversee the efficient management of client complaints and registrations, ensuring compliance with regulatory standards.
  • Develop and maintain a robust internal compliance program.
  • Offer expert compliance support for interpreting exchange rules, IIROC & FINRA regulations.
  • Provide strategic compliance advice and direction to senior management.
  • Ensure compliance with governing regulations in Canada and internal policies, mitigating the risk of financial loss, reputational damage, and regulatory sanctions.
  • Work proactively to resolve issues and implement corrective measures.

Requirement

  • Post-secondary education in business, commerce, economics or a related field, or equivalent experience.
  • Leadership experience leading a team and working with cross functional teams/vendors.
  • Knowledge of and experience with Regulatory Compliance Risk Management Solutions.
  • Proven ability to provide effective compliance advice and direction to senior management.
  • Extensive experience in investment and marketing compliance, auditing, investigations, trade supervision, licensing, and registration.
  • Proven record of precise and ethical work and skilled at coordinating multiple projects, consistently meeting deadlines, even under pressure.
  • Fluent in English and preferably also French.
  • Mandarin and Cantonese skills also a plus.

If you think you are the perfect fit for this role, then please do not hesitate to get in touch! Kindly share with me your up to date CV on ensuring all of the relevant experience is highlighted. Please note, we will only contact shortlisted candidates, ensuring all of the relevant experience is highlighted. Please note, we will only contact shortlisted candidates.

Requirements:

  • Work Permit
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