Senior Compliance Manager

• 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
• In depth knowledge of TCC review and UMIR Policies.
• 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

• University Degree in Finance, Economics, or a related discipline
• Qualification to be registered as an CIRO supervisor
• Minimum 3 years in a compliance role with an 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
• Bilingual (French and English)
• Ability to work well autonomously

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

Mogo