Senior Compliance Manager

6 days ago

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Mogo

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Fintech • Finance • eCommerce

Mogo is a members-only wealth platform that focuses on intelligent investing principles rooted in value investing. It offers both private wealth management and a self-directed investing app, emphasizing a transparent membership model with no hidden fees. With a strong commitment to sustainability and social responsibility, Mogo allows its members to invest in ways that contribute to positive environmental impacts, such as reforesting efforts. The platform also harnesses AI technology to enhance investment research and analysis, empowering users to make informed investment decisions that align with their wealth-building strategies.

51 - 200 employees

Founded 2003

💳 Fintech

💸 Finance

🛍️ eCommerce

💰 Series C on 2014-12

📋 Description

• 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

🎯 Requirements

• 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 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 • 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

• 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