JOB SUMMARY

We are seeking a passionate and driven Compliance Officer to join a Startup team. Assists in the implementation, maintenance and administration of a specific compliance program. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with the Compliance Program. Works with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are met. Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies and programs to address them. Identifies risks and implements appropriate actions to mitigate them. Develops and maintains compliance information for analysis and reporting. Achieves compliance goals by maintaining current knowledge of regulatory requirements and developments.

REQUIREMENTS:

• University Degree or college diploma;
• Minimum 7 months of Compliance experience in commercial/corporate banking or in investment/financial firm;
• Completion of Canadian Securities Course (CSC) and Conduct and Practices Handbook Course (CPHC) are an asset, or willingness to complete these courses;
• Strong analytical mindset and detailed-oriented;
• Knowledge, understanding, and the practical application of relevant provincial securities and SRO (CIRO, AMF, Exchanges) rules and regulations and other applicable regulatory requirements;
• Ability to interpret and apply business, compliance and regulatory guidelines;
• Ability to recognize and handle sensitive and confidential information;
• Able to handle multiple tasks and priorities effectively;
• Exceptional communication skills, both written and verbal, with the ability to engage diverse audiences;
• Excellent time management skills, ability to work independently towards deadlines;
• Proficiency in Microsoft Office (Excel, Word, PowerPoint)

• Responsible for applications and receiving of different Canadian financial company’s licenses (e.g. from Central Bank of Canada, FINTRAC etc.)
• Handle Provincial/National/SRO regulatory inquiries effectively in a timely manner.
• Accountable for the regulatory filings (e.g., OSFI 525 and 590, etc.) and responsible on regulatory reporting requirements (e.g., FINTRAC filings – STRs, EFTs, etc.)
• Provide subject matter expert advice to the General Manager and other senior management team members on regulatory and AML/ATF/sanctions compliance issues.
• Determine the nature of the complaint, and assess whether the complaint should be reported to the relevant SRO (CIRO, AMF, OSC etc.);
• Monitor and approve trades in restricted securities and/or accounts;
• Participate in governance meetings for outsourced service providers;
• Provide advice and support to Business stakeholders responsible for addressing compliance requirements